Searching Content indexed under Corporate/Commercial Law by Robert Evans ordered by Published Date Descending.
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Changing Of The Guard: SEC Reconsiders Conflict Minerals Rule While Congress Votes To Overturn ‘Publish What You Pay' Reporting For Extractive Companies
In the wake of the US elections in November 2016, two of the Securities and Exchange Commission's ("SEC") disclosure rules for public reporting companies — the conflict minerals rule and government payments...
United States
20 Feb 2017
Shining A Light On Payments To Governments: SEC Proposes New "Publish What You Pay" Rule
On December 11, 2015, the US Securities and Exchange Commission ("SEC") issued a proposed rule to implement Section 1504 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
United States
30 Dec 2015
SEC Staff Issues Guidance On The Recent Changes To The JOBS Act
As discussed in our previous publication, one of the changes in the FAST Act was the addition of a provision allowing EGCs to omit certain financial information included in the registration statement.
United States
18 Dec 2015
Court Upholds Partial Invalidation Of SEC Conflict Minerals Rule
In short, this most recent decision means nothing changes. Following the D.C. Circuit's initial decision in NAM, the SEC's Division of Corporation Finance issued a statement on the effect of the ruling.
United States
24 Aug 2015
Exchanges Alter View On 20% Rule For Convertible Bonds
Bankers who originate convertible bonds issued and companies interested in issuing convertible bonds received a rare regulatory win a couple of months ago.
United States
3 Jun 2015
NGO Study Outlines Best Practices For SEC Conflict Minerals Rule Compliance
On April 22, 2015, two human rights non-governmental organizations, Amnesty International and Global Witness, published a report analyzing compliance by US reporting companies with the US Securities...
United States
27 Apr 2015
Flexibility For Debt Refinancings – New SEC No-Action Letter
The SEC staff issued a no-action letter recently that will allow some companies to refinance their debt using tender and exchange offers shorter than the 20 business days required in the tender offer rules.
United States
11 Feb 2015
Broken Windows: SEC Enforcement Reminds Officers, Directors And 5% Shareholders To Comply With Reporting Requirements
The SEC announced enforcement proceedings against officers, directors and major shareholders and publicly-traded companies for violations related to beneficial ownership filings.
United States
10 Oct 2014
SEC Staff Issues Additional Guidance On Conflict Minerals
The SEC Division of Corporation Finance issued responses to nine frequently asked questions on the reporting requirements regarding conflict minerals.
United States
17 Apr 2014
Evans Publishes Column On Ethics And The No Contact Rule
Partner Rob Evans (New York-Capital Markets) is the author and editor of the inaugural column in "Ethics Corner," a new feature in the American Bar Association’s Business Law Today.
United States
17 Dec 2013
Iran Notices Update: SEC-Registered Issuers Continue To Adapt To Their New Normal
It has been over eight months since SEC-registered issuers began making mandatory disclosures of business activities in or with Iran.
United States
11 Nov 2013
Court Upholds SEC Rule on Conflicts Minerals
On July 23, 2013, the US District Court for the District of Columbia found "no problems with the SEC’s rulemaking" by its adoption of the Conflict Minerals Rule pursuant to Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank").
United States
26 Jul 2013
SEC Adopts Rule Changes Allowing General Solicitation In Private Placements Under Rule 506 Of Regulation D And Rule 144A
On July 10, 2013, the US Securities and Exchange Commission (the "SEC") adopted rule changes that will permit general solicitation and general advertising in securities offerings under Rule 506 of Regulation D and Rule 144A.
United States
16 Jul 2013
SEC Approves FINRA Amendments To Conflict Of Interest Rules For Securities Offerings
On September 14, 2006, the National Association of Securities Dealers, Inc. published for comment proposed amendments to NASD Conduct Rule 2720 relating to conflicts of interest that occur in the context of securities distributions.
United States
2 Sep 2009
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