On March 9, 2022, the US Securities and Exchange Commission (“SEC”) voted 3-1 to propose new rules and amendments under the Securities Exchange Act of 1934 that would constitute the SEC’s first attempt to adopt specific rules to comprehensively regulate cybersecurity risk management, strategy, governance and incident reporting for public companies (“registrants”). The stated goals

On February 10, 2022, the Securities and Exchange Commission (the “SEC”) proposed amendments to Schedules 13D and 13G relating to beneficial ownership reports (the “Proposed Amendments”).

The Proposed Amendments are intended to modernize the rules that govern reporting on Schedules 13D and G by, among other things, making information available to the public in a

On February 10, 2022, the Securities and Exchange Commission proposed amendments to Schedules 13D and 13G relating to beneficial ownership reports.  Section 13D requires disclosure by investors of the accumulation of significant positions in, or of certain increases in such positions in, the equity securities of public companies.  Section 13G requires disclosures by certain passive

February 22, 2022 Webinar
12:00pm – 1:00pm EST
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What if the De-SPAC Did Not Yield Sufficient Growth Capital? Or Result in a Liquid Stock? The transformative de-SPACing process is complete and you are a newly public company—now what? Maybe as a result of a higher level of redemptions, or a smaller accompanying

On January 27, 2022, the US Securities and Exchange Commission (SEC) voted to reopen the comment period on the pay versus performance rule that it proposed in 2015 (2015 Proposal). The proposed rule being contemplated would require SEC reporting companies to make expanded disclosure of the relationship between executive pay and a company’s financial performance.

As we start the new year, over 116 IPOs remain in the queue, predominantly from issuers in the biotech, life sciences, and technology sectors. One of the most important steps in completing an IPO is publicly filing the registration statement, marking the commencement of the post-filing period.

In this What’s the Deal? guide, we

This practice note discusses market trends in 2021 relating to disclosures of climate change risks and mitigation by public companies, which are intertwined with environmental, social, and governance (ESG) issues. It also provides illustrative disclosures by public companies regarding how climate change has affected or may affect their operations, both directly (e.g., through disruption

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

On January 14, 2022, the annual NYSE Guidance Memo and NYSE American Guidance Memo (both, the “Guidance Memos”) were released. The Guidance Memos outlined important rules and policies applicable to all the companies listed in these stock exchanges, including those in connection with the timely alert and material news publication, changes to a listed company’s

January 26, 2022 Webinar
12:00pm – 1:00pm EST
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Various academic studies and some well-publicized sales by corporate executives made pursuant to 10b5-1 trading plans have drawn media scrutiny and attention from legislators, prompting calls for the SEC to take a closer look at the area. In addition, issuer share repurchase programs have