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Securities Law Blog

The Securities Law Blog provides commentary and news on the latest securities law developments impacting established and emerging growth publicly-traded issuers and investment banks, as well as entrepreneurs and venture-backed private entities. Our blog closely follows SEC rulemaking in several key areas including public and private securities offerings, shareholder activism and equity investment, and mergers & acquisitions.

The authors of this blog are members of the Corporate/Securities practice of Olshan Frome Wolosky LLP.  Since our founding, this firm has been distinguished by responsive, independent and client-focused legal services provided by lawyers with a profound commitment to the companies they serve. This blog is an outgrowth of this representation of our clients in a wide range of capital market transactions.

Showing 4 posts from October 2016.

SEC Adopts Rules to Facilitate Smaller Securities Offerings

SEC Updates Intrastate Crowdfunding Rules 147 & 504 and Repeals Rule 505. Read More ›

SEC Takes Initial Step to Require “Universal” Proxy Ballots in Contested Elections

On October 26, 2016, the Commissioners of the Securities and Exchange Commission voted 2-1 to propose to require universal proxy ballots in contested elections. Proponents of universal proxies believe that the current federal proxy regime makes it too difficult for shareholders to mix and match their votes among all candidates, thereby disenfranchising shareholders and undermining corporate governance in the United States.  Universal proxies would include all management and dissident nominees on one proxy card from which shareholders would vote.  Under the current rules and proxy voting mechanics, a shareholder who desires to split votes generally must attend the shareholders meeting and vote by ballot.  Read More ›

Acknowledgments of the SEC’s Position on Declaration of Effectiveness and Staff Comments No Longer Required in Issuer Responses

Effective immediately, companies do not need to include so-called “Tandy” representations in their responses to SEC staff comments on periodic reports and registration statements. Read More ›

SEC’s Tick Size Pilot Program Begins Today

With the aim of generating greater interest in smaller public companies with wider trading increments. Read More ›

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