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Searching Content indexed under Corporate/Commercial Law by Mayer Brown ordered by Published Date Descending.
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1
Utilizing Repurchase Facilities And Related Protected Contracts As An Alternative Source For Fund Liquidity
Subscription-backed credit facilities (also known as "capital call" or "capital commitment" facilities, and each a "Subscription Facility") have served as the cornerstone of the fund finance market for the past 20 years.
United States
31 Oct 2019
2
Healthcare And Tech Remain Strong During Slow IPO Market
To date, $44.5 billion in proceeds have been raised in 127 IPOs, 23% less than at the end of Q3 2018.
United States
31 Oct 2019
3
SEC Clarifies BDC Repurchase Obligation
On October 17, 2019, the Staff of the Division of Investment Management released FAQs meant to assist business development companies ("BDCs") that have obtained the ...
United States
30 Oct 2019
4
Commission Requests Innovative Proposals to Address Thinly Traded Securities
The Securities and Exchange Commission issued a statement (see link) that seeks innovative proposals that would improve the secondary market structure...
United States
30 Oct 2019
5
SEC Staff Legal Bulletin No. 14K Provides Further Shareholder Proposal Guidance
This Legal Update describes this recent staff guidance and provides related practical considerations for companies that are, or may soon be, in the process of responding to shareholder proposals for the 2020 proxy season.
United States
29 Oct 2019
6
A Longer Road To Going Public: Private Financing Trends In 2019
The third quarter of 2019 saw a slight decrease in venture private capital funding levels according to PwC and CB Insights' recently published MoneyTree report.
United States
28 Oct 2019
7
SEC Adopts Security-Based Swaps Recordkeeping And Reporting Rules; Compliance Countdown Begins Soon
On September 19, the U.S. Securities and Exchange Commission took another significant step toward completing its requirements for the security-based swap and swap activities by finalizing its recordkeeping and reporting rules ...
United States
24 Oct 2019
8
M&A Energy Transactions In Angola
Associate Quinncy McNeal, based in our Houston office, moderates a discussion between partner Goncalo Falcao and special counsel Norman Nadorff,...
United States
23 Oct 2019
9
Impact Of The California Consumer Privacy Act (CCPA) In M&A Transactions; Podcast
Mayer Brown offers its Global M&A Podcast Series as an easy way to stay up-to-date on the latest M&A trends globally—legal issues and other related, timely topics.
United States
23 Oct 2019
10
SEC Enforcement Update
On September 6, 2019, Co-Director of Enforcement Steven Peikin of the SEC delivered a speech at the Securities Conference 2019. During this address, he discussed whether the SEC's Division
United States
18 Oct 2019
11
SEC Summarizes Regulation Best Interest And Form CRS Relationship Summary
If you were somewhat put off by the prospect of reading over 1,000 pages of adopting releases for Regulation Best Interest and the Form CRS relationship summary and amendments to Form ADV, you are now
United States
18 Oct 2019
12
FINRA Sanctions Representative And Member For Unsuitable Recommendation Of Financial Product
A general securities representative settled Financial Industry Regulatory Authority ("FINRA") charges for advising customers to purchase Leveraged and Inverse Exchange Traded Funds
United States
18 Oct 2019
13
Attorneys General Sue The SEC To Invalidate Regulation Best Interest
The Attorneys General of seven states – New York, California, Connecticut, Delaware, Maine, New Mexico, Oregon – and the District of Columbia
United States
18 Oct 2019
14
FINRA Updates Rule 2232 FAQs
FINRA recently updated its frequently asked questions about Rule 2232, which requires that FINRA members disclose in their confirms to retail customers their markups
United States
18 Oct 2019
15
FINRA: Keep Advertising Simple
In Regulatory Notice 19-31 (the "Notice"), FINRA focuses on keeping marketing materials fair and balanced, as required by FINRA Rules 2210 – 2220, but also keeping those materials short and sweet.
United States
18 Oct 2019
16
Frequent Principal And Trading Agency Cross Transactions Compliance Issues
Section 206(3) makes it unlawful, with certain limited exceptions, for an investment adviser to directly sell or purchase securities to and from clients or to act as a broker for a third party effecting
United States
17 Oct 2019
17
The SEC's Regulation S-P In The Age Of Cybersecurity
Bylined article by Financial Services Regulatory & Enforcement partner Jeffrey Taft and associates Matthew Bizanz and Leslie Cruz.
United States
16 Oct 2019
18
Electronic Discovery & Information Governance - Tip Of The Month: Strategies For The Preservation And Production Of Audio Recordings (September 30, 2019)
A large manufacturer of consumer products invests in new technology to record, store and analyze customer service calls.
United States
15 Oct 2019
19
Avoiding Mistakes With Record Dates And Ex-Dates
The relationship between record dates and ex-dividend dates (or "ex-dates") for dividends is sometimes unclear to market participants, ...
United States
11 Oct 2019
20
Testing The Waters For All – New Rule 163B Expands TTW To All Issuers
On September 26, 2019, the US Securities and Exchange Commission (Commission) extended the ability to test the waters to all issuers by adopting the highly anticipated new Rule ...
United States
9 Oct 2019
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