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Further light is gradually being shed on the approach of the Australian Securities & Investments Commission (ASIC) to enforcing the continuous disclosure laws and on the judicial view of factors that are relevant to imposing civil penalties for breaches of the laws.

In a case of first impression, the US Court of Appeals for the Second Circuit recently held in a published opinion that the Supreme Court’s decision in Morrison v. National Australia Bank Ltd., 561 US 247 (2010), precludes Securities Exchange Act of 1934 ("Exchange Act") claims brought by a putative class of foreign and domestic purchasers of shares of UBS AG—a foreign issuer listed on a foreign exchange—even where those shares were cross-listed on a US exchange. City of Pontiac Policemen’s and

The following summarizes key elements of the final listing standards and significant changes to the Original Proposals reflected in subsequent amendments submitted by NYSE and NASDAQ.

Click on the links below to view SEC notices of exchange rule changes and proposals for the week of September 18 to September 22, 2017.

Click on the links below to view SEC notices of exchange rule changes and proposals for the week of June 17 to June 21, 2017.

The SEC has proposed two complementary rule packages that would fundamentally restructure the U.S. securities offering and reporting disclosure framework.

The Securities and Exchange Commission announced in May 2007 that it intends to propose new rules to make it easier for smaller companies to raise capital. On June 20, 2007 the SEC issued the text of some of the proposed new rules to allow smaller public companies to raise funds in registered offerings using Forms S-3 or F-3 without regard to the size of their public float or the rating of the debt they are offering.

On Thursday April 5, 2012, President Obama signed the Jumpstart Our Business Startups Act (the "JOBS Act") into law, adopting measures designed to facilitate both public and private capital formation.

Companies that are listed on the Nasdaq Stock Market or the New York Stock Exchange are required to adopt a clawback policy that provides for the recovery from any current or former...

Recently, the SEC adopted final rules implementing the "conflict minerals" disclosure requirements in Section 1502 of the Dodd-Frank Act.

Within the last week, Congress passed the Jumpstart Our Business Startups Act (the "JOBS Act" or the "Act"), adopting measures designed to facilitate both public and private capital formation and it is expected to be signed by the President on Thursday, April 5, 2012.

Proposed rule amendments permit general solicitation and general advertising in Rule 506 and Rule 144A offerings but raise challenges for verification of accredited investor status of Rule 506 purchasers.

In one of the most sweeping changes to the securities offering environment in years, the Jumpstart Our Business Startups Act, commonly referred to as the JOBS Act, became law on April 5, 2012.

The SEC has approved Nasdaq's new $5 million Market Value of Listed Securities continued listing requirement, though implementation is currently stayed pending Commission review of appeals.

On January 11, 2013, the U.S. Securities and Exchange Commission approved new listing standards submitted by the New York Stock Exchange and the NASDAQ Stock Market.

On June 20, 2012, the Securities and Exchange Commission (SEC) adopted rules to implement Section 952 of the Dodd-Frank Wall Street Reform and Consumer Protection Act,1 which added Section 10C to the Securities Exchange Act of 1934 (Exchange Act).

FINRA Rule 5110, the corporate financing rule, regulates the terms and arrangements of securities underwriting conducted by FINRA member broker-dealers, which covers virtually all of the US securities industry.