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Short Sale Restrictions Imposed in Many E.U. Countries
Last week, it was announced that a number of authorities in the E.U. have decided to impose or extend existing short-selling bans or restrictions in their respective countries due to recent volatility...
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Short Sale Bans Extended in Some E.U. Countries
Several weeks ago we brought you news that a number of authorities in the E.U. had decided to impose or extend existing short-selling bans or restrictions in their respective countries due to recent...
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SEC Staff Alert Reveals Expansive Application of Market Access Rule
Recently the SEC’s Office of Compliance Inspections & Examinations (OCIE) issued a National Exam Risk Alert addressing Rule 15c3-5, the “Market Access Rule.” The Alert indicates that the Staff is...
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Schulte Roth & Zabel Breaks Down Volcker Rule Proposal
Recently the Federal Deposit Insurance Corporation, the Federal Reserve Board, the SEC and the Office of the Comptroller of the Currency issued a Notice of Proposed Rulemaking to implement the...
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SEC Approves Market Circuit Breakers
Recently, the SEC approved two proposals submitted by the national securities exchanges and FINRA that are designed to address extraordinary volatility in individual listed stocks and the broader U.S....
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When Accessing the Equity Markets Requires an Unexpected Shareholder Vote
In certain situations, NYSE and NASDAQ rules require a shareholder vote before a company can issue equity or convertible securities. However, the shareholder approval process adds both time and expense...
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Update on Final Stock Exchange Rules for Compensation Committees and Advisers
We recently posted this quick update from our friends at Sullivan & Cromwell discussing the SEC’s recent approval of new NYSE and Nasdaq listing standards regarding compensation committees and...
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