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3 Nov 2017, 4:18 am
And it’s a big one. [read post]
9 Sep 2019, 3:49 am
Companies still are required by Rule 14a-8 to notify Corp Fin that they intend to omit a proposal and the “reasons” for excluding it, and since (at this point at least) we don’t have a good sense of when Corp Fin will respond with a definitive position, companies still have to make as strong of a case as they can because you don’t want to be so unconvincing that Corp Fin says (whether orally or in writing) that they don’t concur. 5. [read post]
9 Dec 2011, 4:56 am
A Big Deal: Corp Fin Limits Confidential Submissions by Foreign Private Issuers Historically, Corp Fin has allowed foreign private issuers (FPIs) to submit initial drafts of registration statements - for their IPO or other first-time filings - on a "draft" confidential basis. [read post]
20 Aug 2009, 1:22 am
Corp Fin's Crowded Agenda I attended the ABA Annual Meeting earlier this month, and at the Federal Regulation of Securities Committee's "Dialogue with the Director" session, new Corp Fin Director Meredith Cross, along with Deputy Director Brian Breheny, outlined Corp Fin's agenda. [read post]
6 Jan 2014, 4:29 am
Corp Fin Issues 5 More "Bad Actor" CDIs (& a 13d-3 CDI) Following on the heels of the issuance of 14 CDIs last month clarifying the application of the "bad actor" disqualifications from Rule 506 offerings, Corp Fin issued five more "Securities Act Rules Compliance and Disclosure Interpretations" in this area on Friday. [read post]
27 Mar 2017, 3:07 am
5. [read post]
7 Jun 2013, 10:50 am
Toyota recalls 242,000 Prius, Lexus hybrid cars, www.palmbeachpost.com June 5, 2013 [read post]
3 Jul 2014, 6:04 am
Modernizing T5 so it can handle the new big ships is the first step in realigning our port for the future. [read post]
7 Jun 2022, 3:29 am
at a price per share of $11.75 per share on October 5, 2021. [read post]
26 Jun 2014, 2:57 am
Freeman was a lawyer who co-drafted Rule 10b-5 and Tommy Corcoran was the chief spokesman for the drafters of the ’34 Act who is credited with testifying that Section 16 was a “crude rule of thumb”… - Broc Romanek [read post]
6 Feb 2014, 11:40 am
A review of recent deal activity reveals some big Canadian clients that are being pulled into the Heenan Blaikie vortex — companies like TransForce Inc., Sprott Inc., Bank of Montreal, Capital Power Corp. and Catamaran Corp.What follows is a list of some of the biggest deals Heenan has worked on over the past couple of years, and lawyers and clients of the firm who may be contemplating what to do now.Sept. 18, 2013 – Philip Morris International Inc. and Tanabe Pharma… [read post]
8 Jan 2019, 8:30 am
The case Fourth Estate Public Benefit Corp. v. [read post]
7 Jul 2011, 3:00 am
Owners of C-Corps have no such limitation. 5. [read post]
16 Feb 2016, 3:14 am
Looks like the Staff is favoring the 3% ownership threshold requirement as compared to other terms (egs. number of nominees, group size) as Corp Fin denied three no-action requests (Flowserve; NVR; SBA Communications), each of which involved a 5% ownership requirement adopted by the company. [read post]
19 Jan 2015, 3:52 am
How Big a Deal Is This? [read post]
10 Sep 2020, 3:00 am
That in turn led to violations of Section 5 by both the company and its underwriter. [read post]
24 Feb 2012, 2:49 pm
The Top 5 stories are: 1. [read post]
6 Oct 2011, 9:11 am
Whether you think that diversity is a legitimate point of consideration or not, you should try to focus on it in your application if it applies to you. 5. [read post]
20 Jan 2010, 9:13 am
With annual sales hovering around $40 million a year at Koss Corp., $31 million (or more) stolen over a 5+ year period is certainly material. [read post]
