While the larger capital markets experienced a slowdown, the micro-cap marketplace maintained its momentum during the third quarter of 2022 (Q3). In this blog post, we explore the state of the Micr...
On September 15, 2022, Deputy Attorney General Lisa Monaco disclosed a series of comprehensive updates to the Department of Justice's (DOJ) corporate criminal enforcement protocols. The alterations...
The Securities and Exchange Commission (SEC) recently held its annual "SEC Speaks" conference, a forum that allows high-ranking SEC officials to communicate their views on current initiatives and r...
The Securities and Exchange Commission (SEC) recently held its annual "SEC Speaks" event at the Ronald Reagan Building in Washington, D.C., a significant gathering for professionals in the securiti...
Small businesses often believe that only large corporations need to worry about complex federal regulations and compliance burdens. However, smaller companies are increasingly facing scrutiny and e...
Securities class action lawsuits alleging investment losses frequently conclude in substantial settlements. These settlements can reach hundreds of millions of dollars to resolve shareholder claims...
Public finance programs play a vital role in our society, providing essential services and support to our communities. As a public finance lawyer, I've been closely observing the importance of deli...
On February 10, 2022, the Securities and Exchange Commission (SEC) announced a set of proposed changes to the rules governing beneficial ownership reporting, pursuant to Sections 13(d) and 13(g) of...
The Special Purpose Acquisition Company (SPAC) market has experienced a significant slowdown in 2022, following a record-breaking surge in activity in the previous year. One of the key factors cont...
In a unanimous move that underscores the gravity of the issue, both the House of Representatives and the Senate have recently passed legislation aimed at extending the statute of limitations for pr...
The NYSE submitted a proposed rule change to the SEC that would revise the initial listing requirements.
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