A Review of FINRA’s Corporate Finance Rule
As the strongest U.S. IPO market in decades continues unabated, it seems a good time to talk about underwriter’s compensation. FINR...
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The BSTX
On January 27, 2022, the SEC approved the country’s 17th stock exchange, the first one of which will utilize blockchain technology. ...
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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...
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SEC Issues Guidance On Spring-Loaded Compensation Awards
On November 29, 2021, the SEC issued accounting guidance on the recognition and disclosure of “spring-loaded awards” made to executi...
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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...
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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...
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SEC Proposes Amendments To Rule 10b5-1 Insider Trading Plans
As expected from the Spring 2021 Regulatory Agenda, on December 15, 2021, the SEC proposed amendments to Rule 10b5-1 under the Secur...
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OTCQB And OTC Pink Rule Changes
In December 2019 the OTC Markets updated its Pink Disclosure Guidelines and Attorney Letter Agreement and Guidelines. The Pink...
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New CDI On Mining Company Disclosures
In the 4th quarter of 2018, the SEC finalized amendments to the disclosure requirements for mining companies under the Securities Ac...
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