More Securities & Exchange Commission (SEC) Articles

Securities & Exchange Commission (SEC)

Private Investment in U.S. Public Equity: Overview of Considerations, Mechanics and Strategies

Neil Barlow, legal consultant with Clifford Chance, brings to light private investment in public equity (PIPE) transactions and includes a download that provides an overview of considerations when executing such transactions.

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Securities & Exchange Commission (SEC)

Some 2020 Foresight From the SEC? New Staff Guidance on Shareholder Proposals

SEC efforts to reform the proxy system has included written no-action responses. As the SEC turns to oral guidance, companies seeking a staff no-action position will need to craft a persuasive request.

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Department of Justice (DOJ)

Data Retention, Self-Disclosure and Controlling the Story

How to make sure your company doesn’t run afoul of the FCPA – and the best ways to navigate a government investigation if faced with one.

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