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Recent Posts
- Microcap Regulation A Issuers Targeted by the SEC for Offering Registration Violations
- Silverman and Katz Publish Article in Securities Regulation Law Journal on SEC Rulemaking and Significant Litigation for Q4 2022
- Three Lessons Learned from the Recent Bank Collapses
- SEC Issues Sample Comment Letter Regarding Crypto Risks
- SEC Sample Comment Letters – A Helpful Resource for Preparing Annual Reports and Registration Statements
- FINRA and the Stock Exchanges Take Aim at Underwriters to Address Small-Cap IPO “Ramp and Dump” Schemes
- Recent SEC Enforcement Action Provides Cautionary Guidance for Adopting and Structuring 10b5-1 Plans
- The Struggle to Disclose an Issuer’s Intended Uses of Proceeds in Registered Public Offerings
- Kudos to the 2021 SEC Office of the Advocate for Small Business Capital Formation
- More than 2,000 Publicly Traded Companies Shifted to OTC’s Expert Market as Amended Rule 15c2-11 Goes into Effect
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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 2 posts from November 2022.
SEC Sample Comment Letters – A Helpful Resource for Preparing Annual Reports and Registration Statements
Review of the Division of Corporation Finance’s Sample Comment Letters Can Help Guide Issuers in Preparing Their SEC Filings Read More ›
FINRA and the Stock Exchanges Take Aim at Underwriters to Address Small-Cap IPO “Ramp and Dump” Schemes
FINRA, NYSE and NASDAQ issue alerts to their members on the recent trend of significant unusual price increases on the day of or shortly after the IPOs of small-cap issuers, most of which involve issuers with operations in China and other foreign countries, as part of so-called “ramp and dump” schemes, and place the obligation to battle the schemes on underwriters as “gatekeepers to the public markets.” Read More ›