Securities and Capital Markets - News

SEC Adopts New Rules for Universal Proxy Cards in Contested Director Elections

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The Nuts and Bolts of Uplisting

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What To Do in Q4 to Make Annual Reporting Season Less Painful

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HSE Securities and Capital Markets Newsletter - Fall 2021

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SEC Focuses Attention on Climate Change Disclosure

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Nasdaq’s New Board Diversity Disclosure Requirements

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An Atypical Case of Insider Trading

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SPAC Talk: What to know before you dive in

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Harter Secrest & Emery Welcomes Two New Associates to its Securities and Capital Markets Practice

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Harter Secrest & Emery Welcomes Scott B. Mosley to its Securities and Capital Markets Practice

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SEC Approves Nasdaq Listing Rule Change Relating to Board Diversity

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HSE Securities and Capital Markets Newsletter - Summer 2021

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SEC Priorities Under Chairman Gensler

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SPACs are Dead! Long Live SPACs!

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Gensler on Crypto: He’s Just Not That Into You

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SEC to Consider Changes to 10b5-1 Plans

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Rights Offerings

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Harter Secrest & Emery Advises Maxim Group LLC on Upsized $14.4 Million Uplist Offering

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Harter Secrest & Emery Welcomes Four New Attorneys

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Harter Secrest & Emery Helps Maxim Group Close $8 Million Offering

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HSE Securities and Capital Markets Newsletter - Spring 2021

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There’s a SPAC for That…

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Regulation A+ Offerings

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SEC Announces Focus on Climate-Related and ESG Disclosure

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Harter Secrest & Emery Advises Maxim Group LLC on Upsized $9.6 Million Uplist Offering

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HSE Securities and Capital Markets Newsletter - Winter 2021

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2020 Crypto Year in Review

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Preparing for the 2021 Proxy Season

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Registered Direct Offerings

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New York Modernizes Blue Sky Filing Requirements for Regulation D Offerings

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SEC Spins off FinHub Unit into Stand-Alone Office

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SEC Adopts Amendments to Update MD&A

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SEC Adopts Final Rules to Permit Electronic Signatures

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Harter Secrest & Emery Elects Kayla E. Klos Partner

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SEC Adopts Final Rules to Amend Exempt Offering Framework

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Harter Secrest & Emery to Offer Webinar Series on Helping Businesses Access Capital

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Accessing Capital Markets - Session I: Options to Raise Capital

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SEC Proposes a Long-Awaited Exemption for Finders in Private Capital Raises

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HSE Securities and Capital Markets Newsletter - Fall 2020

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Confidentially Marketed Public Offerings (CMPOs)

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Stock Option Exchange Programs - Addressing “Underwater” Stock Options

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Crypto Innovations in Decentralized Finance: A Yield Farming Overview

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SEC Amends Confidential Treatment Extension Guidance

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SEC Modernizes Banking Disclosure and Eliminates Industry Guide 3

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Harter Secrest & Emery Advises Athenex, Inc. in Connection with $110 Million Public Offering

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

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SEC Modernizes Business, Litigation, and Risk Factor Disclosure Requirements

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SEC Amends "Accredited Investor" and "Qualified Institutional Buyer" Definitions

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SNN Network Virtual Conference

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SEC Updates COVID-19 Related Disclosure Guidance

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SEC Adopts Final Rules on Proxy Voting Advisors

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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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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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COVID-19: Legal Ramifications for Small Companies

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

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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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