Yesterday the Securities and Exchange Commission proposed a broad expansion of the popular “testing the waters” provisions to all companies, including seasoned reporting companies, sm...
Due to the government shutdown, SEC staff members will not consider requests for acceleration or qualification of registration or offering statements until further notice. Companies may, ...
The SEC will be closed for the holidays on December 24 and 25. In addition, in the event of a government shutdown, the SEC said it would “remain fully operational for a limited number o...
In a recent speech, SEC Chair Jay Clayton highlighted three areas of risk disclosure that the regulator plans to monitor in the upcoming filing season: (1) the impact of Brexit, the Unite...
On October 31, 2018, the SEC adopted final rules modernizing disclosure requirements for companies with material mining operations (excluding oil and gas) as part of its ongoing “disclo...
On July 17, the Ninth Circuit issued a decision holding that an overseas company with unsponsored ADRs trading in the United States on the over-the-counter market can be liable for violat...
On 24 April 2018, the Stock Exchange issued the Conclusions to the Consultation Paper on A Listing Regime for Companies from Emerging and Innovative Sectors, launching with effect from 30...
In December 2017, the market greeted with great interest the Consultation Conclusions to the Hong Kong Stock Exchange’s New Board Concept Paper containing a blueprint for opening up the...
