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SEC Amends Accredited Investor Definition

On August 26, 2020, the SEC adopted final amendments that modify the definition of “accredited investor” in Rule 501(a) (the “Rule”) of…

Capital Markets

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SEC Adopts Amendments to Regulation S-K

On August 8, 2019, the SEC proposed amendments aimed at modernizing the disclosure requirements contained in Items 101, 103, and 105 of…

Capital Markets

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SEC Adopts Changes to Required Financial Disclosures for Acquisitions and Dispositions

The Securities and Exchange Commission (“SEC”) has approved amendments to its rules and forms related to the disclosure of financial information regarding…

Capital Markets Client Alerts

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Impact of SEC’s Proposed Rule on Verifying Accredited Investor Status under Rule 506(c)

On March 4, 2020, the Securities and Exchange Commission (“SEC”) announced the publication of a proposed rule (the…

Banking & Financial Institutions Capital Markets Client Alerts

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BE-10 Benchmark Survey Filing: U.S. Investment in Foreign Businesses

The Bureau of Economic Analysis (BEA) of the U.S. Department of Commerce is conducting a 5-year benchmark survey of U.S. investment in…

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NASDAQ Provides COVID-19-Related Regulatory Relief from Price-Based Continued Listing Standards

The SEC has declared effective a rule change previously requested by the Nasdaq Stock Market LLC (NASDAQ) to suspend, as of April…

Capital Markets COVID-19 Resources

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Practical Advice for Upcoming Annual Meetings of Shareholders amid Coronavirus Pandemic

Companies may choose to delay their 2020 annual meetings of shareholders, but should review their governing documents before doing so. SEC filers…

Capital Markets COVID-19 Resources

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SEC Relief for Certain Public Company Filing Obligations

On March 25th, the Securities and Exchange Commission issued an order extending the period for conditional regulatory relief for certain publicly-traded company…

Capital Markets COVID-19 Resources

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Delaware Secretary of State Requires all Filings to be Made Via their Document Upload Service

Effective March 24, 2020, Delaware is under a shelter in place order and the Delaware Secretary of State has suspended in-person meetings,…

Capital Markets COVID-19 Resources

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North Carolina Secretary of State Requires All Filings to be Made Online

The North Carolina Secretary of State has closed its offices to the public, but remains open for business with selected Secretary of…

Capital Markets COVID-19 Resources