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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
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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 1 post by Brian A. Katz.
Silverman and Katz Publish Article in Securities Regulation Law Journal on SEC Rulemaking and Significant Litigation for Q4 2022
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.”