Securities and Capital Markets - News
SEC Adopts New Rules for Universal Proxy Cards in Contested Director Elections
- Written by Harter Secrest & Emery LLP
Harter Secrest & Emery Advises Omnilit Acquisition Corp. on $143.75 Million Initial Public Offering and Nasdaq Listing
- Written by Harter Secrest & Emery LLP
What To Do in Q4 to Make Annual Reporting Season Less Painful
- Written by Harter Secrest & Emery LLP
HSE Securities and Capital Markets Newsletter - Fall 2021
- Written by Harter Secrest & Emery LLP
SEC Focuses Attention on Climate Change Disclosure
- Written by Harter Secrest & Emery LLP
Nasdaq’s New Board Diversity Disclosure Requirements
- Written by Harter Secrest & Emery LLP
Harter Secrest & Emery Advises Maxim Group on $15 Million Offering and Uplisting of Generation Income Properties, Inc.
- Written by Harter Secrest & Emery LLP
Harter Secrest & Emery Welcomes Two New Associates to its Securities and Capital Markets Practice
- Written by Harter Secrest & Emery LLP
Harter Secrest & Emery Advises IEC Electronics Corp. in Signing of a Definitive Merger Agreement with Creation Technologies
- Written by Harter Secrest & Emery LLP
Harter Secrest & Emery Welcomes Scott B. Mosley to its Securities and Capital Markets Practice
- Written by Harter Secrest & Emery LLP
SEC Approves Nasdaq Listing Rule Change Relating to Board Diversity
- Written by Harter Secrest & Emery LLP
Harter Secrest & Emery Advises G3 VRM Acquisition Corp. on $106 Million Initial Public Offering and Nasdaq Listing
- Written by Harter Secrest & Emery LLP
HSE Securities and Capital Markets Newsletter - Summer 2021
- Written by Harter Secrest & Emery LLP
SEC Approves Amendments to NYSE Rules to Permanently Relax Some Stockholder Approval Requirements
- Written by Harter Secrest & Emery LLP
Harter Secrest & Emery Advises Maxim Group LLC on Upsized $14.4 Million Uplist Offering
- Written by Harter Secrest & Emery LLP
Harter Secrest & Emery Welcomes Four New Attorneys
- Written by Harter Secrest & Emery LLP
Harter Secrest & Emery Helps Maxim Group Close $8 Million Offering
- Written by Harter Secrest & Emery LLP
HSE Securities and Capital Markets Newsletter - Spring 2021
- Written by Harter Secrest & Emery LLP
SEC Announces Focus on Climate-Related and ESG Disclosure
- Written by Harter Secrest & Emery LLP
Harter Secrest & Emery Advises Maxim Group LLC on Upsized $9.6 Million Uplist Offering
- Written by Harter Secrest & Emery LLP
Harter Secrest & Emery Advises VerifyMe, Inc. on $8.75 Million Bought Deal Public Offering of Common Stock
- Written by Harter Secrest & Emery LLP
HSE Securities and Capital Markets Newsletter - Winter 2021
- Written by Harter Secrest & Emery LLP
New York Modernizes Blue Sky Filing Requirements for Regulation D Offerings
- Written by Harter Secrest & Emery LLP
SEC Settles First Enforcement Action Against a Public Company for Alleged Misleading Disclosures on COVID-19
- Written by Harter Secrest & Emery LLP
SEC Adopts Final Rules to Permit Electronic Signatures
- Written by Harter Secrest & Emery LLP
Harter Secrest & Emery Elects Kayla E. Klos Partner
- Written by Harter Secrest & Emery LLP
SEC Adopts Final Rules to Amend Exempt Offering Framework
- Written by Harter Secrest & Emery LLP
Harter Secrest & Emery to Offer Webinar Series on Helping Businesses Access Capital
- Written by Harter Secrest & Emery LLP
SEC Proposes a Long-Awaited Exemption for Finders in Private Capital Raises
- Written by Harter Secrest & Emery LLP
HSE Securities and Capital Markets Newsletter - Fall 2020
- Written by Harter Secrest & Emery LLP
Stock Option Exchange Programs - Addressing “Underwater” Stock Options
- Written by Harter Secrest & Emery LLP
Crypto Innovations in Decentralized Finance: A Yield Farming Overview
- Written by Harter Secrest & Emery LLP
SEC Amends Confidential Treatment Extension Guidance
- Written by Harter Secrest & Emery LLP
SEC Modernizes Banking Disclosure and Eliminates Industry Guide 3
- Written by Harter Secrest & Emery LLP
Harter Secrest & Emery Advises Athenex, Inc. in Connection with $110 Million Public Offering
- Written by Harter Secrest & Emery LLP
SEC Extends Temporary Relief to Help Expedite Access to Capital for Reg CF Offerings
- Written by Harter Secrest & Emery LLP
SEC Modernizes Business, Litigation, and Risk Factor Disclosure Requirements
- Written by Harter Secrest & Emery LLP
SEC Amends "Accredited Investor" and "Qualified Institutional Buyer" Definitions
- Written by Harter Secrest & Emery LLP
NYSE Extends Temporary Waiver of Shareholder Approval Requirements
- Written by Harter Secrest & Emery LLP
HSE Securities and Capital Markets Newsletter - Summer 2020
- Written by Harter Secrest & Emery LLP
Harter Secrest & Emery Helps Maxim Group Close $14.6 Million Offering
- Written by Harter Secrest & Emery LLP
Harter Secrest & Emery Advises VerifyMe, Inc. in $10 Million Public Offering and Uplisting to Nasdaq
- Written by Harter Secrest & Emery LLP
Disgorgement Remains Available, if Limited, Equitable Remedy in Combatting Securities Fraud
- Written by Harter Secrest & Emery LLP
Raising Money Became Easier for Companies – and Few People Know
- Written by Buffalo Business First
SEC Adopts Financial Disclosure Amendments for M&A Activity
- Written by Harter Secrest & Emery LLP
SEC Provides Temporary Relief to Help Expedite Access to Capital for Reg CF Offerings
- Written by Harter Secrest & Emery LLP
SEC Issues COVID-19-Related FAQs Offering Guidance on Deadline Relief
- Written by Harter Secrest & Emery LLP
SEC Provides Guidance Regarding Investment Adviser PPP Loan Disclosure
- Written by Harter Secrest & Emery LLP
Harter Secrest & Emery Helps Maxim Group Close $4.7 Million Offering
- Written by Harter Secrest & Emery LLP
Nasdaq Provides Temporary Relief for Listing Requirements Amid COVID-19 Pandemic
- Written by Harter Secrest & Emery LLP
Real Estate Investment Market May Look Different Post-COVID-19
- Written by Rochester Business Journal
HSE Securities and Capital Markets Newsletter - Spring 2020
- Written by Harter Secrest & Emery LLP
Preventative Medicine: COVID-19 and Poison Pill Plans
- Written by Harter Secrest & Emery LLP
SEC Charges “Toxic” Lender for Failing to Register as a Dealer Under Volume-Based Theory
- Written by Harter Secrest & Emery LLP
SEC Releases Guidance on COVID-19 Issues Associated with Annual Meetings of Stockholders
- Written by Harter Secrest & Emery LLP
SEC Amends Definitions of Accelerated and Large Accelerated Filers
- Written by Harter Secrest & Emery LLP
SEC Amends Financial Disclosure Requirements for Debt Offerings
- Written by Harter Secrest & Emery LLP
Harter Secrest & Emery Welcomes Christopher Murillo to its Securities and Capital Markets Practice
- Written by Harter Secrest & Emery LLP
SEC Proposes Further Amendments to MD&A Disclosure
- Written by Harter Secrest & Emery LLP
Harter Secrest & Emery Welcomes Four New Attorneys
- Written by Harter Secrest & Emery LLP
FINTECH Sandbox: Paxos Receives No-Action Letter to Test Blockchain-Based Settlement Service
- Written by Harter Secrest & Emery LLP
Harter Secrest & Emery Earns High Honors in 2020 U.S. News - Best Lawyers “Best Law Firms” Rankings
- Written by Harter Secrest & Emery LLP
New Rule Allows All Companies to “Test-The-Waters”
- Written by Harter Secrest & Emery LLP
SEC Proposes Rules to Update Industry Guide 3 for Banking Organizations
- Written by Harter Secrest & Emery LLP
SEC Brings First Standalone Regulation FD Charges Since 2013
- Written by Harter Secrest & Emery LLP
SEC Identifies Cybersecurity Compliance Issues Following Examinations
- Written by Harter Secrest & Emery LLP
SEC Amends Rules to Modernize and Simplify Disclosure
- Written by Harter Secrest & Emery LLP
Harter Secrest & Emery Welcomes Four New Attorneys
- Written by Harter Secrest & Emery LLP
A Few Tweets Cost Tesla CEO Elon Musk $20 Million and Chairmanship
- Written by Harter Secrest & Emery LLP
Harter Secrest & Emery Attorneys Named to Legal Elite List
- Written by Harter Secrest & Emery LLP
Harter Secrest & Emery Welcomes Michelle L. Bouton to its Securities and Capital Markets Practice
- Written by Harter Secrest & Emery LLP
Harter Secrest & Emery Partner Alexander R. McClean Named 2018 Forty Under 40 Honoree by Rochester Business Journal
- Written by Harter Secrest & Emery LLP
SEC Amends Definition of Smaller Reporting Company and Expands Scaled Disclosure Eligibility
- Written by Harter Secrest & Emery LLP
SEC Increases Rule 701 Additional Disclosure Threshold from $5 Million to $10 Million and Issues Concept Release on Rule 701
- Written by Harter Secrest & Emery LLP
SEC Director of Corporation Finance Provides Needed Clarity to Determine Whether Internet Coins Are Securities
- Written by Harter Secrest & Emery LLP
Dodd-Frank Reform Bill Increases Access to Capital
- Written by Harter Secrest & Emery LLP
Dodd-Frank Reform Legislation Directs the SEC to Increase Rule 701 Additional Disclosure Threshold from $5 Million to $10 Million
- Written by Harter Secrest & Emery LLP
Harter Secrest & Emery Assists Jerash with Historic IPO, Nasdaq Listing
- Written by Harter Secrest & Emery LLP
Amanda M. Karpovich Named to Big Brothers Big Sisters Board of Directors
- Written by Harter Secrest & Emery LLP
Harter Secrest & Emery Welcomes Margaret K. Rhoda to Its Securities & Capital Markets Practice
- Written by Harter Secrest & Emery LLP
SEC Provides New Guidance on the CEO Pay Ratio Rule
- Written by Harter Secrest & Emery LLP
SEC Adopts Final Rules Requiring Exhibit Hyperlinks and HTML Formatting
- Written by Harter Secrest & Emery LLP
SEC Adopts Final Rules Updating Intrastate and Regional Offering Rules
- Written by Harter Secrest & Emery LLP
SEC Adopts Amendments to Form ADV and Investment Advisers Act
- Written by Harter Secrest & Emery LLP
SEC Proposes Rule That Would Require Registered Investment Advisers to Adopt Business Continuity and Transition Plans
- Written by Harter Secrest & Emery LLP
SEC Takes a Hard Line on Confidentiality and Severance Agreements
- Written by Harter Secrest & Emery LLP
SEC Proposes Amendments to the Definition of “Smaller Reporting Company”
- Written by Harter Secrest & Emery LLP
The Securities and Exchange Commission Releases New Guidance on Use of Non-GAAP Financial Measures
- Written by Harter Secrest & Emery LLP
Harter Secrest & Emery Expands Securities Practice in Buffalo
- Written by Harter Secrest & Emery LLP
Harter Secrest & Emery Elects McClean, Sewruk, and Dorritie to Partnership
- Written by Harter Secrest & Emery LLP