Securities and Capital Markets - News
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
Western New York’s Emerging Legal Sectors
- Written by Buffalo Business First/Buffalo Law Journal
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
Harter Secrest & Emery Welcomes Sarah H. Brennan to its Securities and Capital Markets Practice
- 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
Updates to ISS and Glass Lewis Proxy Voting Guidelines for 2016
- Written by Harter Secrest & Emery LLP
SEC Issues Final CEO Pay Ratio Disclosure Rules Under Dodd-Frank
- Written by Harter Secrest & Emery LLP
SEC Proposes Rules on Pay-for-Performance Disclosure
- Written by Harter Secrest & Emery LLP
The SEC Proposes Rules to Implement the JOBS Act Amendments
- Written by Harter Secrest & Emery LLP
The SEC’s FCPA “Wake-Up Call” to Small and Medium-Sized Businesses
- Written by Harter Secrest & Emery LLP
SEC Issues No-Action Letter Providing Relief to Private Company M&A Brokers
- Written by Harter Secrest & Emery LLP
SEC Proposes New Pay Equity Disclosure Requirements for Reporting Companies
- Written by Harter Secrest & Emery LLP
SEC Adopts Final Rules Lifting General Solicitation Ban and Disqualifying Bad Actors; Proposes New Requirements For Rule 506 Offerings
- Written by Harter Secrest & Emery LLP
SEC Issues FAQs on Conflict Minerals Disclosure Rules
- Written by Harter Secrest & Emery LLP
SEC Provides Guidance on the Use of Social Media for Public Company Disclosure
- Written by Harter Secrest & Emery LLP
SEC Adopts Final Conflict Minerals Disclosure Rules
- Written by Harter Secrest & Emery LLP
SEC Issues Final Rule Regarding Listing Standards for Compensation Committees
- Written by Harter Secrest & Emery LLP
JOBS Act Seeks to Improve Access to Capital for Startup and Other Private Companies
- Written by Harter Secrest & Emery LLP
SEC Adopts New Net Worth Standard for Accredited Investors
- Written by Harter Secrest & Emery LLP
SEC Releases New Guidance on Cybersecurity Disclosure
- Written by Harter Secrest & Emery LLP
SEC Will Permit Shareholder Proposals on Proxy Access for 2012
- Written by Harter Secrest & Emery LLP
SEC Adopts Final Dodd-Frank Investment Advisers Act Regulations
- Written by Harter Secrest & Emery LLP
SEC's Proposed Rule to Add "Bad Actor" Provision to Rule 506 Offerings
- Written by Harter Secrest & Emery LLP
SEC Adopts Final Rules Implementing the Whistleblower Provisions of Dodd-Frank
- Written by Harter Secrest & Emery LLP
Impact of the Dodd-Frank Act on Private Investment Fund Advisers
- Written by Harter Secrest & Emery LLP
The Impact of the Dodd-Frank Act on Executive Compensation and Corporate Governance
- Written by Harter Secrest & Emery LLP
SEC Issues New Interpretive Guidance Regarding Climate Change
- Written by Harter Secrest & Emery LLP
U.S. Regulators Increase Enforcement of the Foreign Corrupt Practices Act
- Written by Harter Secrest & Emery LLP
SEC Eliminates Broker Discretionary Votes in Director Elections
- Written by Harter Secrest & Emery LLP