Search for: "Flom v. Flom"
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15 Feb 2024, 9:05 pm
On January 24, 2024, the Securities and Exchange Commission (SEC) adopted final rules that impose significant additional procedural and disclosure requirements on initial public offerings (IPOs) by special purpose acquisition companies (SPACs) and in business combination transactions involving SPACs (de-SPACs). [read post]
27 Jun 2023, 9:01 pm
Congress has been very clear in the federal securities laws when it intends to preempt state law, such as in the National Securities Markets Improvement Act[44] or the Jumpstart Our Business Startups Act.[45] Indeed, such a broad claim of Commission authority might raise issues under the major questions doctrine discussed in West Virginia v. [read post]
11 Apr 2022, 9:01 pm
Current proposals include: (i) imposing a mandatory “cooling-off” period of 120 days for officers and directors, and 30 days generally, between when a plan is adopted or modified and when trading can commence; (ii) requiring directors and officers to personally certify to the company that they are not in possession of material nonpublic information at the time of adoption or modification of a plan; (iii) providing that the affirmative defense under Rule 10b5-1(c)(1) does not apply… [read post]
