7/24/2025 2:00:34 PM Convertible Notes & SAFEs: Still Popular, But Terms Are Tightening By Katherine Duncan Allison Cooper Convertible instruments held steady in Q1 2025, but the terms are shifting in favor of investors. Interest rates on convertible notes...
7/18/2025 2:00:45 PM SEC in Discussion with Exchanges to Ease Public Company Regulations By David Bell Ran Ben-Tzur Amanda Rose Wendy Grasso +1 more... Show less The SEC is reportedly in discussions with Nasdaq and NYSE about ways to ease the burden of becoming—and remaining—a public company. Some...
7/16/2025 2:00:24 PM SEC Division of Corporation Finance Issues Statement on Crypto Asset Exchange-Traded Products By David Bell Ran Ben-Tzur Amanda Rose Wendy Grasso +1 more... Show less On July 1, the SEC’s Division of Corporation Finance (Corp Fin) issued a statement regarding Crypto Asset Exchange-Traded Products...
7/15/2025 2:36:33 PM SEC's Corp. Fin. Amends CDIs Related to Regulation 13D–G Reporting Rules By David Bell Ran Ben-Tzur Amanda Rose Wendy Grasso +1 more... Show less On July 11, the SEC’s Division of Corporation Finance amended 18 Compliance and Disclosure Interpretations relating to Regulation 13D-G,...
7/14/2025 8:17:07 PM Reminder: Risk Factor and MD&A Considerations for Upcoming Form 10-Q By David Bell Ran Ben-Tzur Amanda Rose Wendy Grasso +1 more... Show less Keep in mind the following risk factor and MD&A considerations for upcoming Form 10-Q filings: Trade Issues and Tariffs: U.S. and...
6/20/2025 2:00:16 PM SEC News Roundup By David Bell Ran Ben-Tzur Amanda Rose Wendy Grasso +1 more... Show less Catch up on the latest SEC news, including agency guidance, tips, requests for input, and more. Petition for Rulemaking with Respect to...
6/18/2025 2:00:05 PM FINRA Fee Cap Increase Coming in July By David Bell Ran Ben-Tzur Amanda Rose Wendy Grasso +1 more... Show less Some issuers will be subject to higher FINRA fee caps beginning July 1, 2025. Section 7 of Schedule A to the FINRA By-Laws sets forth the...
6/16/2025 2:36:46 PM SEC Withdraws 2022 Proposed Amendment to Rule 14a-8 By David Bell Ran Ben-Tzur Amanda Rose Wendy Grasso +1 more... Show less On June 12, 2025, the SEC announced its withdrawal of previously proposed amendments to Rule 14a-8. The amendments, proposed in June...
5/12/2025 8:42:16 PM NYSE Changes Rules on Initial Period Fees, How It Evaluates Listing Applications from Companies Outside North America By David Bell Ran Ben-Tzur Amanda Rose Wendy Grasso +1 more... Show less The New York Stock Exchange (Exchange) has recently adopted two rule changes, one to reduce fees for the initial period of a company’s...
5/7/2025 1:00:15 PM SEC OKs Nasdaq's Changes to Initial Listing Reqs By David Bell Ran Ben-Tzur Amanda Rose Wendy Grasso Merritt Steele +2 more... Show less The SEC recently approved Nasdaq’s proposed changes to the initial listing requirements related to liquidity. Nasdaq proposed to change...
5/5/2025 1:00:59 PM SEC updates CDIs on Rule 10b5-1 plans, clawbacks, and de-SPAC transactions By David Bell Ran Ben-Tzur Amanda Rose Wendy Grasso Merritt Steele +2 more... Show less On April 25, the SEC staff added two new Compliance and Disclosure Interpretations (CDIs), revised 20 CDIs and withdrew three CDIs...
5/2/2025 1:00:31 PM Risk Factor Considerations for Upcoming Form 10-Q By David Bell Ran Ben-Tzur Amanda Rose Wendy Grasso Merritt Steele +2 more... Show less As companies prepare their Form 10-Q disclosures, it's worth bearing in mind a number of special considerations amid the current economic...