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Securities Regulation › Publicly-Traded Companies › Investment Management

DLA Piper

An Alternative Approach to Access Capital and Liquidity – Why US Companies Should Consider an ASX Listing

DLA Piper on

A number of US companies have gone public in Australia as an alternative to a further private round in the US. While the ASX may not be an obvious alternative to US capital markets, there are a number of reasons why the it...more

Mayer Brown Free Writings + Perspectives

SEC Advisory Committee to Discuss Capital Challenges for Small Businesses

Mayer Brown Free Writings + Perspectives on

The Securities and Exchange Commission’s (SEC) Small Business Capital Formation Advisory Committee will meet on February 25, 2025 to discuss capital-raising challenges for emerging fund managers and smaller public companies...more

Skadden, Arps, Slate, Meagher & Flom LLP

Form 20-F for Fiscal Year 2024: What Foreign Private Issuers Should Keep in Mind

Skadden, Arps, Slate, Meagher & Flom LLP on

There have been a number of notable recent developments in SEC regulation of foreign private issuers (FPIs), including disclosure trends and rule changes that impact the annual report on Form 20-F for fiscal year 2024. In...more

Orrick, Herrington & Sutcliffe LLP

Short Interest Reports Due February 14

Orrick, Herrington & Sutcliffe LLP on

Absent SEC or court action, institutional investment managers that meet or exceed certain thresholds face a February 14 deadline to file the first reports with the SEC on Form SHO. Form SHO, which was adopted with Rule 13f-2...more

DarrowEverett LLP

SEC’s New Rules Give SPACs, Target Companies Much to Consider

DarrowEverett LLP on

On January 24, 2024, the U.S. Securities and Exchange Commission (the “SEC”) adopted new final rules relating to special purpose acquisition companies (“SPACs”). The new rules affect both initial public offerings (“IPOs”) for...more

Ballard Spahr LLP

COVID-19: SEC Disclosure Obligations for Investment Companies

Ballard Spahr LLP on

As discussed in our previous alerts, over the past several weeks, the Securities and Exchange Commission (the SEC) and its staff (the Staff) have provided guidance and targeted, conditional, and temporary relief to investment...more

Akin Gump Strauss Hauer & Feld LLP

NYSE Temporarily Waives Certain Shareholder Approval Requirements to Mitigate Liquidity Constraints Caused by COVID-19

Akin Gump Strauss Hauer & Feld LLP on

On April 6, 2020, the Securities and Exchange Commission (SEC) approved and declared immediately effective a proposed rule change filed by the New York Stock Exchange LLC (NYSE) temporarily waiving through June 30, 2020,...more

Mayer Brown Free Writings + Perspectives

Business Development Company Guide for Capital Markets

Mayer Brown Free Writings + Perspectives on

This guide covers all related information that a securities practitioner needs when working with a Business Development Company (BDC). It provides an overview of the industry and covers applicable securities laws and...more

Ballard Spahr LLP

SEC Grants No-action Relief Relaxing Captain In-person Board Voting Requirements

Ballard Spahr LLP on

On February 28, 2019, the Division of Investment Management of the Securities and Exchange Commission issued a no-action letter to the Independent Directors Council (IDC) granting no-action relief to certain situations where...more

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