SEC Issues New Mergers and Acquisitions Related C&DI
Last week was a very busy regulatory week for the SEC, including issuing six new compliance and disclosure interpretations (C&DI...
Year: 2022
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Regulation By Enforcement
The SEC is well known for, and often criticized for, its practice of regulation by enforcement. In recent years the SEC has been mo...
The BSTX
On January 27, 2022, the SEC approved the country’s 17th stock exchange, the first one of which will utilize blockchain technology. ...
Non-Fungible Tokens
This one has been on my list for a while and I’m finally ready to dive in – non-fungible tokens (NFTs). In July 2017, the world of ...
Disclosure Considerations Related To The Conflict In The Ukraine
In addition to being a tragedy, the Russian attack on the Ukraine has disrupted businesses around the world, caused a spike in oil p...
SEC Proposes Rules Related To Securities Lending Market
In November 2021, the SEC proposed new Exchange Act Rule 10c-1, which would require lenders of securities to provide the material te...
SEC ReOpens Comment Period For Pay Versus Performance
On January 27, 2022, the SEC re-opened the comment period on proposed rules under the Dodd-Frank Act requiring disclosure of informa...
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SEC Fall 2021 Regulatory Agenda
SEC Fall 2021 Regulatory Agenda- In mid-December, the SEC published its semiannual regulatory agenda and plans for rulemaking. The U...
SEC Fall 2021 Regulatory Agenda
In mid-December, the SEC published its semiannual regulatory agenda and plans for rulemaking. The Unified Agenda of Regulatory and...
SPAC Shareholder Litigation – First Fire
On January 3, 2022, the Delaware Court of Chancery denied a motion to dismiss a shareholder lawsuit against a SPAC’s sponsor, its di...