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Responding to a recent call from SEC Chair Gary Gensler to “freshen up” Rule 10b5-1, a subcommittee of the SEC’s Investor Advisory Committee (IAC) released draft recommendations on August…
This week, the staff of the SEC issued a statement expressing a view that, despite the widespread practice to the contrary, most warrants issued in connection with a SPAC transaction should…
On April 2nd, the SEC approved NYSE rule changes that will relax current requirements to obtain shareholder approval prior to certain equity issuances. The changes will facilitate capital…
On December 28, the NYSE proposed rules that would relax its current requirements to obtain shareholder approval prior to certain equity issuances. The proposal, if approved, would more…
This week, the SEC proposed to amend Rule 144 to revise the holding period determination for securities acquired upon conversion or exchange of certain types of convertible securities. The…
After almost a decade of attempting to issue similar rules, on December 16 the SEC adopted amendments that would require resource extraction companies to disclose payments made to foreign…
On December 2, 2020, the U.S. House of Representatives passed by unanimous consent the Holding Foreign Companies Accountable Act, which would require the United States Securities and…
On November 24, 2020, the SEC released proposed amendments and proposed temporary rules relating to the federal securities laws that govern the issuance of equity securities to service…
Last week, the SEC enacted sweeping changes to a number of financial disclosure requirements in Regulation S-K. The rule changes, among other things, eliminate the requirement that…