Securities and Capital Markets - News

NYSE Extends Temporary Waiver of Shareholder Approval Requirements

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HSE Securities and Capital Markets Newsletter - Summer 2020

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Harter Secrest & Emery Helps Maxim Group Close $14.6 Million Offering

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Disgorgement Remains Available, if Limited, Equitable Remedy in Combatting Securities Fraud

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Impact of COVID-19 on Stock Ownership Guidelines

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At-the-Market Offerings (ATMs)

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Token Takedowns Part II - The Collapse of Ton

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Raising Money Became Easier for Companies – and Few People Know

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SEC Adopts Financial Disclosure Amendments for M&A Activity

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Nasdaq Follows NYSE in Easing 20% Rule

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SEC Provides Temporary Relief to Help Expedite Access to Capital for Reg CF Offerings

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SEC Issues COVID-19-Related FAQs Offering Guidance on Deadline Relief

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SEC Provides Guidance Regarding Investment Adviser PPP Loan Disclosure

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Western New York’s Emerging Legal Sectors

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Harter Secrest & Emery Helps Maxim Group Close $4.7 Million Offering

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Nasdaq Provides Temporary Relief for Listing Requirements Amid COVID-19 Pandemic

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Real Estate Investment Market May Look Different Post-COVID-19

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HSE Securities and Capital Markets Newsletter - Spring 2020

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Preventative Medicine: COVID-19 and Poison Pill Plans

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SEC Charges “Toxic” Lender for Failing to Register as a Dealer Under Volume-Based Theory

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SEC Releases Guidance on COVID-19 Issues Associated with Annual Meetings of Stockholders

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SEC Amends Definitions of Accelerated and Large Accelerated Filers

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SEC Guidance and Relief Related to COVID-19

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SEC Amends Financial Disclosure Requirements for Debt Offerings

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Private Investment in Public Equity (PIPE)

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Token Takedowns

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Harter Secrest & Emery Welcomes Christopher Murillo to its Securities and Capital Markets Practice

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SEC Proposes Further Amendments to MD&A Disclosure

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Harter Secrest & Emery Welcomes Four New Attorneys

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Preparing for the 2020 Proxy Season

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FINTECH Sandbox: Paxos Receives No-Action Letter to Test Blockchain-Based Settlement Service

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New Rule Allows All Companies to “Test-The-Waters”

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Harter Secrest & Emery Welcomes Sarah H. Brennan to its Securities and Capital Markets Practice

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SEC Proposes Rules to Update Industry Guide 3 for Banking Organizations

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New Stock Exchange Emerges from Silicon Valley

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SEC Brings First Standalone Regulation FD Charges Since 2013

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SEC Adopts Regulation Best Interest

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SEC Identifies Cybersecurity Compliance Issues Following Examinations

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SEC Amends Rules to Modernize and Simplify Disclosure

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Harter Secrest & Emery Welcomes Four New Attorneys

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SEC Adopts Dodd-Frank Hedging Disclosure Rules

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Preparing for the 2019 Proxy Season

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A Few Tweets Cost Tesla CEO Elon Musk $20 Million and Chairmanship

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Harter Secrest & Emery Attorneys Named to Legal Elite List

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Harter Secrest & Emery Welcomes Michelle L. Bouton to its Securities and Capital Markets Practice

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SEC Amends Definition of Smaller Reporting Company and Expands Scaled Disclosure Eligibility

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Dodd-Frank Reform Bill Increases Access to Capital

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Harter Secrest & Emery Assists Jerash with Historic IPO, Nasdaq Listing

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Amanda M. Karpovich Named to Big Brothers Big Sisters Board of Directors

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SEC Brings Rule 701 Enforcement Action

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Sidoti & Company Spring 2018 Conference

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Harter Secrest & Emery Welcomes Margaret K. Rhoda to Its Securities & Capital Markets Practice

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SEC Provides New Guidance on the CEO Pay Ratio Rule

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2017 Marcum MicroCap Conference

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SEC Adopts Final Rules Requiring Exhibit Hyperlinks and HTML Formatting

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SEC Adopts Final Rules Updating Intrastate and Regional Offering Rules

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SEC Adopts Amendments to Form ADV and Investment Advisers Act

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SEC Proposes Universal Proxy Cards

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Sidoti Fall 2016 Emerging Growth Convention

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Donnelley Financial Solutions SEC Hot Topics Institute

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SEC Takes a Hard Line on Confidentiality and Severance Agreements

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SEC Proposes Amendments to the Definition of “Smaller Reporting Company”

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The Securities and Exchange Commission Releases New Guidance on Use of Non-GAAP Financial Measures

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Harter Secrest & Emery Expands Securities Practice in Buffalo

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SEC Adopts New Crowdfunding Rules

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Harter Secrest & Emery Elects McClean, Sewruk, and Dorritie to Partnership

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Updates to ISS and Glass Lewis Proxy Voting Guidelines for 2016

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SEC Issues Final CEO Pay Ratio Disclosure Rules Under Dodd-Frank

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SEC Proposes Rules on Clawback of Compensation

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SEC Proposes Rules on Pay-for-Performance Disclosure

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The SEC Proposes Rules to Implement the JOBS Act Amendments

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The SEC’s FCPA “Wake-Up Call” to Small and Medium-Sized Businesses

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SEC Issues No-Action Letter Providing Relief to Private Company M&A Brokers

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SEC Proposes New Crowdfunding Rules

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SEC Proposes New Pay Equity Disclosure Requirements for Reporting Companies

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SEC Issues FAQs on Conflict Minerals Disclosure Rules

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SEC Provides Guidance on the Use of Social Media for Public Company Disclosure

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NYSE and NASDAQ Propose Rule Changes

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SEC Adopts Final Conflict Minerals Disclosure Rules

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SEC Issues Final Rule Regarding Listing Standards for Compensation Committees

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JOBS Act Seeks to Improve Access to Capital for Startup and Other Private Companies

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SEC Adopts New Net Worth Standard for Accredited Investors

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SEC Releases New Guidance on Cybersecurity Disclosure

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SEC Will Permit Shareholder Proposals on Proxy Access for 2012

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SEC Adopts Final Dodd-Frank Investment Advisers Act Regulations

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SEC's Proposed Rule to Add "Bad Actor" Provision to Rule 506 Offerings

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SEC Adopts Final Rules Implementing the Whistleblower Provisions of Dodd-Frank

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SEC Adopts Final Say-on-Pay Rules

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Impact of the Dodd-Frank Act on Private Investment Fund Advisers

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The Impact of the Dodd-Frank Act on Executive Compensation and Corporate Governance

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SEC Issues New Interpretive Guidance Regarding Climate Change

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Preparing for the 2010 Proxy Season

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U.S. Regulators Increase Enforcement of the Foreign Corrupt Practices Act

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SEC Eliminates Broker Discretionary Votes in Director Elections

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Disclaimer

This website presents only general information not intended as legal advice. Although we encourage calls, letters and emails from prospective clients, please keep in mind that merely contacting Harter Secrest & Emery LLP (HSE) does not establish an attorney-client relationship between us. Confidential information should not be sent to HSE until you have been notified in writing by HSE that a formal attorney-client relationship has been established. Information sent to us before then may not be treated as confidential by HSE or the court.

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