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SEC Spring 2021 Regulatory Agenda
The first version of the SEC’s semiannual regulatory agenda and plans for rulemaking under the current administration has been publi...
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SEC Updates Filing Fees And Payment Methods
During the busiest capital markets boom most practitioners, including myself, have ever experienced, on October 13, 2021, in a whopp...
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SEC Approves Nasdaq Board Diversity Rule
On August 6, 2021, the SEC approved Nasdaq’s board diversity listing standards proposal. Not surprisingly, the approval vote was di...
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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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SEC Final Rule Changes For Exempt Offerings – Part 4
On November 2, 2020, the SEC adopted final rule changes to harmonize, simplify and improve the exempt offering framework. The new r...
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The MEMX
Although overshadowed by all things ESG and SPAC related, a new Wall Street backed national exchange, the Members Exchange (MEMX), l...
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