COVID-19

Subscribe to COVID-19 via RSS

The Financial Industry Regulatory Authority, Inc. (“FINRA”) announced via Regulatory Notice 24-02 the effective dates and other important timeframes for new FINRA Rules 3110.18 (Remote Inspections Pilot Program) and 3110.19 (Residential Supervisory Location). Moreover, FINRA announced the end date of the COVID-19-related regulatory relief set forth in FINRA Regulatory Notice 20-08 with respect to the…

In this practice note, we discuss market trends in capital markets and securities-related considerations during the COVID-19 pandemic. It describes how the US Securities and Exchange Commission (“SEC”) addressed the effects of the pandemic through exemptive orders and guidance and discusses key disclosure matters, including risk factors, management’s discussion and analysis of financial position and…

February 24, 2022 Webinar
12:00pm – 1:00pm EST
Register here.

In recent years, the SEC has continued to execute on its disclosure effectiveness initiative, which has its objective eliminating redundant and outdated disclosure requirements, as well as modernizing the requirements applicable to SEC-reporting companies. As a result, the SEC has adopted a number of…

The COVID-19 pandemic had a significant impact on the IPO process.  Testing-the-waters meetings had consistently increased in number in recent years, which resulted in shorter IPO roadshows even pre-pandemic.  Roadshows continued to be compressed during the transition to virtual roadshows, a format which many institutional investors have become accustomed to now as a result of…

November 15, 2021 Webinar
1:00pm – 2:00pm EDT
Register here. 

With the autumn leaves beginning to fall, it is once again time to prepare for proxy and annual report season. Companies will have to weigh various considerations this upcoming proxy season, including the objectives of new leadership at the US Securities and Exchange Commission…

August 4, 2021 Webinar 
1:00pm EDT – 2:00pm EDT
Register here.

Practices for public companies relating to earnings calls, earnings guidance and investor updates vary. Especially in uncertain and volatile markets, preparing for these important communications requires careful consideration of a number of factors, including the recent statements and guidance from the Securities and…

Medium-Term Note Programs Webinar
June 8, 2021, 1:00pm – 2:00pm EDT
Register here.

Medium-term note (“MTN”) programs are continuous offering programs that enable issuers to offer debt securities in an efficient and expedited manner. MTN programs have unique documentation, as opposed to benchmark underwritten offerings. Most MTN programs have the ability to offer debt…

Prior to 2020, the last significant revisions to Regulation S-K were over 30 years ago.  As modernization of the human capital disclosure requirements have caught up with the times, companies are faced with setting reporting precedents.  See our previous post that provides an explanation of the Regulation S-K amendments.   

How did companies respond to the…

Lexis Practice Advisor

This practice note provides an overview of post-financial crisis market trends in the commercial paper market which went through significant restructuring and witnessed a reduction in the use of commercial paper to securitize assets. The note examines the market structure and evolution and legal and regulatory trends and discusses crisis programs established…