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