Searching Content indexed under Corporate and Company Law by Anna T. Pinedo ordered by Published Date Descending.
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Testing The Waters For All – New Rule 163B Expands TTW To All Issuers
On September 26, 2019, the US Securities and Exchange Commission (Commission) extended the ability to test the waters to all issuers by adopting the highly anticipated new Rule ...
United States
9 Oct 2019
Establishing An Issuer Rule 10b5-1 Plan With An ATM Offering
This article summarizes key questions that an issuer may raise in connection with deciding whether to establish a Rule 10b51 trading plan in conjunction with the issuer's at-the-market offering program.
United States
3 Oct 2019
Insights From Chair Clayton On SEC Priorities
At the Economic Club of New York, in keynote remarks, Chair Clayton reviewed the Securities and Exchange Commission's recent initiatives.
United States
13 Sep 2019
Business Development Company Guide For Capital Markets
In this Lexis Practice Advisor® Practice Note, we provide answers to questions frequently asked by securities lawyers and their clients regarding the federal securities laws
United States
10 Sep 2019
FINRA Reminds Firms To Engage With The SEC On Regulation Best Interest
On August 7, 2019, FINRA issued Regulatory Notice 19-26, which reminded member firms that Regulation Best Interest and the related Form CRS relationship summary were each adopted by the SEC on June 5, 2019.
United States
2 Sep 2019
Annual Review Of Federal Securities Regulation
The Annual Review of Federal Securities Regulation, prepared by the Subcommittee on Annual Review of the Committee on Federal Regulation of Securities of the ABA Business Law Section
United States
30 Aug 2019
The SEC Adds Its Voice To The LIBOR Chorus
In a public statement dated July 12, 2019, the SEC's Divisions of Corporation Finance, Investment Management and Trading and Markets, and the Office of the Chief Accountant, encouraged market participants ...
United States
5 Aug 2019
SEC Proposed Changes To Financial Disclosure Rules For Merger & Acquisition Transactions: First Analysis
This article discusses the amendments proposed by the U.S. SEC on May 3, 2019 in connection with financial statement disclosures on business acquisitions and dispositions as required by Regulation...
United States
30 Jul 2019
Regulation Best Interest
On June 5, 2019, the Securities and Exchange Commission (SEC) adopted Regulation Best Interest (Rule 15l-1 under the Securities Exchange Act of 1934 (Exchange Act)),
United States
25 Jun 2019
Market Trends 2018/19: Registered Direct Offerings
This market trends article focuses on registered direct offerings, providing an overview of the market and covering recent notable transactions, deal structure and process, and legal and regulatory trends.
United States
19 Jun 2019
Market Trends 2018/19: U.S. Tariff Policies
This market trends article identifies disclosures related to U.S. Tariff Policies that offer more detailed discussions on the actual and potential effects for the particular registrants and concludes with...
United States
19 Jun 2019
Market Trends 2018/19: Business Development Companies
Business development companies (BDCs) are closed-end investment management companies that are specially regulated by the Investment Company Act of 1940, as amended (the 1940 Act).
United States
19 Jun 2019
SEC Roundtable On Quarterly Disclosures And Short-Termism
The SEC announced an upcoming roundtable (date and details to come) that will focus on the causes of short-termism, including the role of quarterly disclosur
United States
5 Jun 2019
The Up-C Structure In IPOs
The umbrella partnership - C corporation structure ("Up-C") is an indirect mode for an operating partnership to conduct an initial public offering ("IPO").
United States
29 May 2019
SEC's Proposed Disclosure Improvements For Business Acquisitions And Dispositions
On May 3, 2019, the US Securities and Exchange Commission (SEC) proposed revisions to financial statement disclosures with respect to business acquisitions and dispositions required by Regulation S-X's Rule 3-05
United States
27 May 2019
SEC Proposes To Improve Disclosures Relating To Acquisitions And Dispositions Of Businesses
As part of the Disclosure Effectiveness initiative, the Securities and Exchange Commission proposed amendments to address the financial disclosure requirements in connection with acquisitions
United States
20 May 2019
Amendments To The Accelerated Filer And Large Accelerated Filer Definitions
The Securities and Exchange Commission has scheduled an open meeting for May 9, 2019 at 9 am, which will be webcast.
United States
20 May 2019
SEC Small Business Initiatives
The SEC announced the new Office of the Advocate for Small Business Capital Formation will host a roundtable on May 6th, which will address, among other things
United States
17 May 2019
Social Costs Of Dividends And Repurchases
In a recent paper, referenced above, author JB Heaton analyzes the extent to which the ability of corporations to return capital to their shareholders through dividends and repurchases results in substantial social costs.
United States
23 Apr 2019
How Successful Listed Companies Thrive
Not-for-profit Focusing Capital on the Long Term (FCLT) Global is dedicated to encouraging a long-term outlook in business and investment decision-making.
United States
27 Mar 2019
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