Securities Law Blog https://www.olshanlaw.com/Securities-Law-Blog/2023/ Sun, 16 Aug 2026 15:28:50 -0400 Non-Compliant Nasdaq Listed Companies Trading Below $1.00 Risk Being Delisted https://www.olshanlaw.com/Securities-Law-Blog/non-compliant-nasdaq-listed-companies-trading-below-1-00-risk-being-delisted Spencer G. Feldman non-compliant-nasdaq-listed-companies-trading-below-1-00-risk-being-delisted Mon, 18 Dec 2023 09:00:01 -0500 Consideration of a More Measured Approach for Smaller Public Companies

]]> Kenneth Silverman and Brian Katz Publish Article in Securities Regulation Law Journal on SEC Rulemaking and Significant Litigation for Q2 2023 https://www.olshanlaw.com/Securities-Law-Blog/kenneth-silverman-and-brian-katz-publish-article-in-securities-regulation-law-journal-on-sec-rulemaking-and-significant-litigation-for-q2-2023 Kenneth M. Silverman, Brian A. Katz kenneth-silverman-and-brian-katz-publish-article-in-securities-regulation-law-journal-on-sec-rulemaking-and-significant-litigation-for-q2-2023 Thu, 07 Dec 2023 09:00:02 -0500 Corporate partner Kenneth Silverman and litigation partner and co-chair Brian Katz published an article in the Securities Regulation Law Journal, Fall 2023 ed. entitled “Quarterly Survey of SEC Rulemaking and Major Court Decisions.” The article reviews the SEC’s rulemaking activities and other decisions relating to federal securities laws from April 1, 2023 through June 30, 2023. “This quarter,” the authors write, “the SEC proposed four new rules and approved seven final rules. In pertinent part, the final and proposed rules continue the ongoing trend in recent years to modernize current regulatory frameworks in a manner that facilitates increased transparency and investor protection.”

]]> SEC Adopts Updates to Schedule 13D and 13G Reporting https://www.olshanlaw.com/Securities-Law-Blog/sec-adopts-updates-to-schedule-13d-and-13g-reporting Andrew Freedman sec-adopts-updates-to-schedule-13d-and-13g-reporting Wed, 11 Oct 2023 09:00:03 -0400 Olshan provides key takeaways for Schedule 13D and 13G reporting updates adopted by the U.S. Securities and Exchange Commission.

]]> The SEC’s “Names Rule” Amendments Address the Recent Trend of Misleading Investment Fund Names, with a Message to Public Companies https://www.olshanlaw.com/Securities-Law-Blog/the-secs-names-rule-amendments-address-the-recent-trend-of-misleading-investment-fund-names-with-a-message-to-public-companies Spencer G. Feldman the-secs-names-rule-amendments-address-the-recent-trend-of-misleading-investment-fund-names-with-a-message-to-public-companies Mon, 02 Oct 2023 09:00:04 -0400 The SEC has expanded Rule 35d-1 of the Investment Company Act of 1940, known as the “Names Rule,” to require a fund to invest at least 80% of its assets in the manner suggested by its name, focusing on funds that advertise themselves as ESG or sustainable funds. Public companies should also hear the SEC’s message.

]]> Silverman and Katz Publish Article in Securities Regulation Law Journal on SEC Rulemaking and Significant Litigation for Q1 2023 https://www.olshanlaw.com/Securities-Law-Blog/silverman-and-katz-publish-article-in-securities-regulation-law-journal-on-sec-rulemaking-and-significant-litigation-for-q1-2023 Kenneth M. Silverman, Brian A. Katz silverman-and-katz-publish-article-in-securities-regulation-law-journal-on-sec-rulemaking-and-significant-litigation-for-q1-2023 Mon, 14 Aug 2023 09:00:05 -0400 Corporate partner Kenneth Silverman and litigation partner and co-chair Brian Katz published an article in the Securities Regulation Law Journal, Summer 2023 ed. entitled “Quarterly Survey of SEC Rulemaking and Major Court Decisions.” The article reviews the SEC’s rulemaking activities and other decisions relating to federal securities laws from January 1, 2023 through March 31, 2023. “This quarter,” the authors write, ”the SEC proposed nine new rules and approved three final rules. The SEC's latest rule changes and proposals are largely geared towards modernizing the mechanisms of capital markets infrastructure and bolstering protections to individuals and entities from cybersecurity and privacy risks.”

]]> Microcap Regulation A Issuers Targeted by the SEC for Offering Registration Violations https://www.olshanlaw.com/Securities-Law-Blog/microcap-regulation-a-issuers-targeted-by-the-sec-for-offering-registration-violations Spencer G. Feldman microcap-regulation-a-issuers-targeted-by-the-sec-for-offering-registration-violations Mon, 22 May 2023 09:00:06 -0400 Regulation A issuers may be younger, smaller and less profitable than more established Form S-1 issuers, but they must still comply with numerous specific SEC regulations governing disclosures and procedural rules during ongoing public offerings. By enforcing Regulation A rule violations against ten microcap companies, the SEC has made clear that, despite any relaxation of restrictions on these offerings, well-established SEC rules apply to Regulation A offerings as much as they do to traditional registered offerings.

On May 16, 2023, the SEC announced settlements with ten ...

]]> Silverman and Katz Publish Article in Securities Regulation Law Journal on SEC Rulemaking and Significant Litigation for Q4 2022 https://www.olshanlaw.com/Securities-Law-Blog/silverman-and-katz-publish-article-in-securities-regulation-law-journal-on-sec-rulemaking-and-significant-litigation-for-q4-2022 Kenneth M. Silverman, Brian A. Katz silverman-and-katz-publish-article-in-securities-regulation-law-journal-on-sec-rulemaking-and-significant-litigation-for-q4-2022 Tue, 16 May 2023 09:00:07 -0400 Corporate partner Kenneth Silverman and litigation partner and co-chair Brian Katz published an article in the Securities Regulation Law Journal, Spring 2023 ed. entitled “Quarterly Survey of SEC Rulemaking and Major Appellate Decisions.” The article reviews the SEC’s rulemaking activities and other decisions relating to federal securities laws from October 1, 2022 through December 31, 2022. “The SEC’s latest rule changes and proposals are largely geared toward streamlining disclosure processes,” the authors write. “Given the recent collapse of cryptocurrency exchange FTX and related actions that came to light during this quarter, we expect the SEC will begin to develop and propose new rules to regulate and provide further oversight over cryptocurrency markets.”

]]> Three Lessons Learned from the Recent Bank Collapses https://www.olshanlaw.com/Securities-Law-Blog/three-lessons-learned-from-the-recent-bank-collapses Andrew B. Lustigman, Jason S. Saltsberg three-lessons-learned-from-the-recent-bank-collapses Wed, 22 Mar 2023 09:00:08 -0400 The recent turmoil in the banking industry provides some important reminders for companies with respect to cash management.

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