492 results found

During the past two months, the Commodity Futures Trading Commission ("CFTC") announced rules, statutory interpretations, proposed rules, interim final rules, no action letters, orders and proposed orders, all of which will dramatically affect the energy industry.

The process for Rule 144A and Regulation S offerings is similar to underwritten U.S. registered offerings.

The private equity exit market shows signs of recovery with increased deal volume in early 2026, though conditions remain far from the pre-pandemic norm. Strategic buyers pursue selective opportunities while public markets reopen cautiously, forcing sophisticated sponsors to fundamentally rethink their approach to liquidity planning throughout the investment lifecycle rather than concentrating exit strategies near the end of hold periods.

On June 20, the Securities and Exchange Commission adopted a final rule that requires national securities exchanges to adopt listing standards regarding the independence of compensation committees and compensation advisers of public companies.

The SEC, on August 22, 2012, adopted a final rule implementing disclosure requirements for reporting issuers that use "conflict minerals" originating in the Democratic Republic of the Congo .

The U.S. Department of Justice ("DOJ") and U.S. Securities and Exchange Commission ("SEC") continue to reevaluate and adapt their approach to FCPA enforcement.

Since mid-2001, the Canadian equity new-issue market has been dominated by income fund issuers and their like. For anyone who has even a passing familiarity with the Canadian capital market, this is an obvious observation; however, it may still be news or at least interesting for US issuers and their advisers to learn something about the liquidity options that may be available to them in the Canadian market.

The U.S. Securities and Exchange Commission recently approved changes to Rule 506 of Regulation D under the Securities Act of 1933 to implement the elimination, mandated by the Jumpstart Our Business Startups Act.

The Commodity Futures Trading Commission (the "CFTC") and the Securities and Exchange Commission (the "SEC", and together with the CFTC, the "Commissions") recently adopted final rules (the "Product Rules") defining the terms "swap" and "security-based swap" and providing related interpretive guidance on a wide range of issues.

UK’s FCA Restricts Marketing of Unregulated Collective Investment Schemes and Similar Products to Retail Investors

Effective January 1, 2025, The Nasdaq Stock Market raised its all-inclusive annual listing fees for companies with equity securities listed on the Nasdaq Global Select, Global and Capital Markets.

With a significant proportion of companies listed on the Hong Kong Stock Exchange incorporated in the Cayman Islands and approximately 223 Cayman-incorporated...

Hogan Lovells Cadwalader launches a quarterly newsletter dedicated to helping non-U.S. companies navigate the complex landscape of U.S. Securities and Exchange Commission compliance and reporting obligations. What critical regulatory developments and enforcement trends should international companies monitor to successfully maintain their U.S. listings?

The Securities and Exchange Commission recently adopted several significant amendments that will change the way private placements are conducted.

Spotify did it. Slack did it. Many other late-stage private technology companies are reported to be seriously considering doing it

The UK Financial Services Authority has published a consultation paper outlining several proposed changes to the Listing Rules.

The competitiveness of capital markets in the United States and the impact of regulations on capital raising activities by emerging companies have been put in the spotlight again by recent correspondence between Congressman Darrell Issa (R-CA), Chairman of the House Committee on Oversight and Government Reform, and Mary Schapiro, Chairman of the U.S. Securities and Exchange Commission.