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SEC Adopts Rule Permitting “Test-the-Waters” Communications by All Issuers
SEC Adopts Rule Permitting “Test-the-Waters” Communications by All Issuers
Neil R. E. Carr
Sep 30, 2019
SEC Approves Amendments to Nasdaq’s Initial Listing Standards Related to Liquidity
August 12, 2019 The SEC recently approved amendments to The Nasdaq Stock Market LLC’s (“Nasdaq”) initial listing standards on an...
Neil R. E. Carr
Aug 12, 2019
SEC Adopts Amendment to Rule 701 Exemption for Offerings Pursuant to Compensatory Arrangements
August 1, 2018 On July 18, 2018, the Securities and Exchange Commission (“SEC”) adopted an amendment to Rule 701 under the Securities Act...
Neil R. E. Carr
Aug 1, 2018
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