Search
Searching Content indexed under Shareholders by Anna T. Pinedo ordered by Published Date Descending.
Links to Result pages
 
1  
 
Title
Country
Organisation
Author
Date
1
Business Development Company Guide For Capital Markets
In this Lexis Practice Advisor® Practice Note, we provide answers to questions frequently asked by securities lawyers and their clients regarding the federal securities laws
United States
10 Sep 2019
2
FINRA Reminds Firms To Engage With The SEC On Regulation Best Interest
On August 7, 2019, FINRA issued Regulatory Notice 19-26, which reminded member firms that Regulation Best Interest and the related Form CRS relationship summary were each adopted by the SEC on June 5, 2019.
United States
2 Sep 2019
3
Market Trends 2018/19: Registered Direct Offerings
This market trends article focuses on registered direct offerings, providing an overview of the market and covering recent notable transactions, deal structure and process, and legal and regulatory trends.
United States
19 Jun 2019
4
Social Costs Of Dividends And Repurchases
In a recent paper, referenced above, author JB Heaton analyzes the extent to which the ability of corporations to return capital to their shareholders through dividends and repurchases results in substantial social costs.
United States
23 Apr 2019
5
10 Tips For 10-Ks And Proxy Statements
With preparations shifting into high gear for calendar-year companies that file annual reports on Form 10-K and proxy statements with the US SEC, here are tips to consider when drafting these documents.
United States
9 Jan 2019
6
Top 10 Practice Tips: Registered Direct Offerings
A registered direct offering (RDO) is a public offering of securities that is sold on a best efforts basis by a placement agent that is engaged by the issuer ...
United States
7 Jan 2019
7
New Staff Legal Bulletin On Shareholder Proposals
The Division of Corporation Finance published Staff Legal Bulletin No. 14J (CF) in order to provide guidance on issues arising under Rule 14a-8 under the Exchange Act.
United States
29 Oct 2018
8
Nasdaq Shareholder Vote Rule
As we previously blogged, The Nasdaq Stock Market filed with the Securities and Exchange Commission an amendment to its shareholder vote rule, often referred to as the 20% rule.
United States
25 Oct 2018
9
Share Repurchases
In a white paper titled, "Taking Stock," published by MSCI and written by Ric Marshall, Pano Seretis, and Agnes Grunfeld, the authors analyze the effect of share buybacks.
United States
17 Sep 2018
10
Market Trends 2017/18: Lock-Up Agreements
In connection with offerings of securities, the underwriters or placement agents negotiate a lock-up agreement with the issuer and its directors, officers, and control persons.
United States
15 Aug 2018
11
SEC Roundtable On Proxy Process Announced
Yesterday the Securities and Exchange Commission announced that it would convene a roundtable in order to gather information regarding whether the Commission's rules on the proxy process should be refined.
United States
6 Aug 2018
12
Nasdaq Shareholder Approval Rule Amendment
Early in 2018, the Nasdaq filed with the SEC an amendment that would update certain aspects of the Nasdaq shareholder approval rules, Rule 5635.
United States
18 Jun 2018
Links to Result pages
 
1