A Drill Down On Rule 506 Of Regulation D
On June 18, 2019, the SEC issued a 211-page concept release and request for public comment on ways to simplify, harmonize, and impro...
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Environmental, Social And Governance– The World Of ESG
Over the past few years, the term “Environmental, Social and Governance” or “ESG” has been both first used and brought into daily us...
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SEC Issues Guidance On Proxy Advisory Firms
On August 29, 2019, the SEC issued anticipated guidance related to the application of the proxy rules to proxy advisory firms. ...
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SEC Proposes Amendments to Accelerated and Large Accelerated Filer Definitions
As promised by SEC Chair Jay Clayton almost a year ago when the SEC amended the definition of a “smaller reporting company” as conta...
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The 20% Rule – Private Placements
Nasdaq and the NYSE American both have rules requiring listed companies to receive shareholder approval prior to issuing t...
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NASDAQ And NYSE American Shareholder Approval Requirement – Equity Based Compensation
Nasdaq and the NYSE American both have rules requiring listed companies to receive shareholder approval prior to issu...
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Mergers And Acquisitions; Board Of Directors Responsibilities – Delaware
Recently the Delaware Chancery Court rejected an interested executive’s defense of a breach of fiduciary duty claim, reminding us of...
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Equity Market Structure – Musings By The SEC; 15c2-11 And Penny Stocks
In March, SEC Chairman Jay Clayton and Brett Redfearn, Director of the Division of Trading and Markets, gave a speech to the Gabelli...
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SEC Establishes Analysis Matrix for Digital Assets
On April 3, 2019, the SEC’s Division of Corporation Finance published a “Framework for Investment Contract Analysis of Digital Asset...
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NASDAQ And NYSE American Shareholder Approval Requirements– Change Of Control
Nasdaq and the NYSE American both have rules requiring listed companies to receive shareholder approval prior to issuing securities...
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