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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 58 posts in SEC.
SEC Issues Sample Comment Letter Regarding Crypto Risks
Another indication that regulators are on high alert for further fallout in the wake of the collapse of major crypto firms. Read More ›
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 ›
Growth Companies Should Disclose Financial Projections In IPO Prospectuses
Spencer Feldman's article first appeared in Law360 (April 9, 2021, subscription required) Read More ›
SEC Announces That It Will Aggressively Scrutinize Issuer’s Climate Change Disclosure
Issuers Need to be Prepared to Provide More Accurate and Consistent Disclosures of the Material Risks Associated with Climate Change Read More ›
Leadership Change at the SEC: What Activists Could Expect from Gary Gensler and the Biden Administration
President Biden to Nominate Former CFTC Chair Gary Gensler to Lead the SEC Read More ›
Nasdaq Proposes New Listing Rules Related to Board Diversity
On December 1, 2020, Nasdaq filed Proposed Rule 5605(f) with the U.S. Securities and Exchange Commission (“SEC”) to adopt new listing rules related to board diversity. If approved by the SEC, Proposed Rule 5605(f) would require all companies listed on Nasdaq’s U.S. exchange to publicly disclose their diversity statistics regarding their board of directors. Proposed Rule 5605(f) would also require all Nasdaq-listed companies to include a minimum number of individuals on their board of directors who self-identify in one or more of the following “Diverse” categories: female, underrepresented minority or LGBTQ+. Read More ›
SEC Adopts Amendments to Permit the Use of Electronic Signatures for SEC Filings
Authored by Kenneth M. Silverman; Zachary E. Freedman, Law Clerk Read More ›
The SEC Proposes a Safe Harbor for Permissible Capital-Raising Activities by Unregistered Finders
Recognizing the longstanding need for a new approach to the regulation of finders who help smaller businesses raise early stage capital, the SEC has published a notice of a proposed exemptive order and request for comment to formalize the regulatory status of unregistered finders. The proposed finders exemption from broker-dealer registration would facilitate a role for unregistered finders in the capital-raising process and clarify the circumstances under which issuers can legally compensate finders who comply with specified conditions. The author’s thoughts on the proposed finders exemption follow a summary of the rule proposal. Read More ›
SEC Issues 100th Whistleblower Award Just Days after Adopting Amendments to Whistleblower Program
The New Rules are Designed to Add Clarity, Efficiency and Transparency to the SEC’s Already Successful Whistleblower Award Program Read More ›
SEC Reduces Registration Filing Fee Beginning in October 2020
Public companies and first-time issuers will pay about 16% less to register their securities with the SEC starting next month. Read More ›