ESG – The Disclosure Debate Continues
The ESG debate continues, including within the SEC and amongst other regulators and industry participants. Firmly in support of ESG...
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SEC Proposed Conditional Exemption For Finders
Over the years I have written many times about exemptions to the broker-dealer registration requirements for entities and individual...
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SEC Final Rule Changes For Exempt Offerings – Part 3
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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Update On Nasdaq And NYSE Direct Listings
The rules related to direct listings continue to evolve as this method of going public continues to gain in popularity. The last ti...
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NYSE Continues To Struggle With Direct Listing Rule Changes
Late last year, around the same time that the SEC approved Nasdaq rule changes related to direct listings on the...
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SEC Final Rule Changes For Exempt Offerings – Part 1
On November 2, 2020, the SEC adopted final rule changes to harmonize, simplify and improve the exempt offering framework. The SEC h...
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SEC Adopts Amendments To Accredited Investor Definition
The much anticipated amendments to the accredited investor definition and definition of qualified institutional buyer under Rul...
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Five Essential Conditions for Unregistered Spin-Offs
A spin-off occurs when a parent company distributes shares of a subsidiary to the parent company’s shareholders such that the subsid...
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