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Public Market Listing Standards
One of the bankers that I work with often once asked me if I had written a blog with a side-by-side comparison of listing on Nasdaq ...
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Big Changes Are Coming
I’ve been practicing securities law for 19 years this year (phew!) and for the first time in my career I am excited about changes, b...
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The Investment Adviser Advertising Rule
On September 14, 2017, the SEC Office of Compliance Inspections and Examinations (“OCIE”) issued a risk alert identifying the most f...
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