This checklist covers the SEC’s Wells Process, which is the informal pre-enforcement procedure through which the Division of Enforcement notifies a person or entity that it intends to recommend charges and gives the recipient an opportunity to respond through...
This practice note covers the SEC’s use of administrative proceedings as an enforcement forum and explains how those proceedings differ from civil actions in federal district court. It begins by comparing the two venues, emphasizing differences in adjudicator...
By: Christopher Campbell and Antonious Sadek , DLA PIPER This checklist provides guidance for protecting attorney-client privilege and work product in the environment of generative artificial intelligence (AI). The checklist specifically gives an overview of...
In recent years, the U.S. federal and state government, as well as governments around the world, have sought to control greenhouse gas emissions by imposing tighter limits on permissible emissions levels for cars, trucks, and other products that use fossil fuels...
D.C. COURT ORDERS EEOC TO RECONSIDER WORKPLACE WELLNESS RULES IN AN ACTION BROUGHT BY THE AMERICAN ASSOCIATION of Retired Persons (AARP), the U.S. District Court for the District of Columbia has ordered the U.S. Equal Employment Opportunity Commission (EEOC)...
By: Robert N. Rapp , Calfee Halter & Griswold LLP LEXIS PRACTICE ADVISOR RESEARCH PATH: Securities & Capital Markets > State Securities Regulations – Blue Sky Laws> Blue Sky Laws > Practice Notes > “Regulation A-Plus” Limited...
ABA Releases New Guidelines For Lawyers Who Experience Data Breaches By: Lexis Practice Advisor Attorney Team THE AMERICAN BAR ASSOCIATION (ABA) RECENTLY issued Formal Opinion 483, addressing lawyers’ ethical obligations to their clients after a data...
By: Steven J. Slutzky, Kevin R. Grondahl, and Nicholas P. Pellicani THIS ARTICLE COVERS 10 PRACTICAL TIPS THAT COUNSEL in a secondary offering can use to facilitate execution and avoid common pitfalls. Secondary offerings of equity securities by stockholders...
By: David L. Kornblau and Gerald W. Hodgkins Overview The enforcement and regulatory priorities of the Securities and Exchange Commission (SEC) have begun to come into focus now that SEC Chairman Jay Clayton has been in office for nearly a year and a half....
By: Daniel P. Adams, Gilbert G. Menna , and Ettore A. Santucci Goodwin Procter LLP LIKE ALL IPOS, THE FUNDAMENTAL PROCESS FOR A REIT IPO involves the preparation of a registration statement (albeit on a Form S-11 instead of a Form S-1), including a prospectus...
By: Kristine Di Bacco and Doug Sharp Fenwick & West LLP Start-up companies use seed financings primarily to raise the capital required to build a minimum viable product and test their product-market fit. This article provides guidance to company counsel and...
By: Lori Zyskowski GIBSON, DUNN & CRUTCHER LLP The voting recommendations of proxy advisory firms—including, most notably, Institutional Shareholder Services (ISS) and Glass Lewis & Co. (Glass Lewis)—continue to influence the voting outcomes...
By: David J. Goldschmidt and Michael J. Schwartz SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP The planning and preparation that each public company must undertake in connection with periodic and current reporting is substantial in terms of time, effort, and resources...
By: Rebecca G. DiStefano and Jeffrey S. Kahn , Greenbert Traurig, P.A. This market trends article covers employee stock ownership plans (ESOPs), which are a combination of a tax-qualified retirement plan and a corporate finance tool, and addresses recent trends...
By: Jordan Yaret , Mikhel Schecter , and Bryant Mendel , Paul, Weiss, Rifkind, Wharton & Garrison LLP STRONG ECONOMIC GROWTH AND HISTORICALLY LOW interest rates boosted U.S. structured finance issuance to $510 billion in 2017, a 37% increase over 2016 volume...