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69 Insights found for Corporate and Transactional > Securities and Capital Markets
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Event

Letters of Intent and Other Preliminary Considerations

2015 Acquiring or Selling the Privately Held Company Seminar

Location:
Chicago, Ill.
Event

Securities Litigation 101: Commencing and Contesting a Federal Securities Class Action

New York City Bar Association CLE Program

Location:
New York, N.Y.
Event

Uplist Boot Camp Panel

5th Annual Dawson James Small Cap Growth Conference

Location:
Jupiter, Fla.
In The News
News Release

PlacementTracker Recognizes Schiff Hardin in Q3 2016 U.S. PIPE Market Investor Counsel League Tables

Schiff Hardin was the 12th most active investor counsel in Q3. The firm was also the 11th most active placement agent counsel.

News Release

The Deal Names Schiff Hardin Among Top 10 Placement Agent Law Firms

Schiff Hardin was recognized in The Deal’s Top 10 Placement Agent Law Firm list for its counsel to placement agents in the deals that relied on agents.

News Release

Schiff Hardin Advises The Benchmark Company as Underwriter in $12 Million IPO of ADSs

Schiff Hardin advised The Benchmark Company as managing underwriter in Biofrontera AG’s initial public offering of 1.2 million American depositary shares (ADSs), raising $12 million, and the Nasdaq listing of Biofrontera’s ADSs.

News Release

Schiff Advises Medical Device Company Soliton on $10.4 Million IPO

Schiff Hardin LLP advised Soliton, Inc., a pre-revenue stage medical device company, in its initial public offering of two million shares of common stock, raising $10.4 million.

News Release

Schiff Hardin Advises I-Bankers Securities as Managing Underwriter in $57.5M SPAC IPO

Schiff Hardin LLP advised I-Bankers Securities, Inc. as managing underwriter in GreenVision Acquisition Corp.’s initial public offering of 5 million shares, raising $50 million with an over-allotment option of $7.5 million.

News Release

Schiff Hardin Advises I-Bankers Securities as Underwriter in $115M IPO

Schiff Hardin LLP advised I-Bankers Securities, Inc. as managing underwriter in Proficient Alpha Acquisition Corp.’s initial public offering of 10 million shares, raising $100 million with an over-allotment option of $15 million.

News Release

Best Lawyers Recognizes 59 Schiff Attorneys, Six “Lawyers of the Year,” and 21 Ones to Watch

Schiff Hardin LLP is pleased to announce that 59 attorneys have been listed in the 2021 edition of The Best Lawyers in America, with six attorneys also being named a “Lawyer of the Year” in their respective areas of practice and location.

News Release

Schiff Earns 46 “Best Law Firms” Rankings in 2021

Schiff Hardin LLP has received 46 top-tier rankings in the 2021 edition of U.S. News – Best Lawyers® “Best Law Firms,” nationally recognizing the firm’s premier practices.

News Release

Schiff Hardin Advised Good Works Acquisition Corp. in $150 Million SPAC IPO

Schiff Hardin advised Good Works Acquisition Corp. in connection with its initial public offering of 15 million units of securities at $10 per unit.

News Release

Schiff Hardin Advises Breeze Holdings Acquisition Corp. in $100M IPO

Schiff Hardin LLP served as Issuer’s Counsel in Breeze Holdings Acquisition Corp.’s initial public offering of 10 million units of securities at $10 per unit.

News Release

Schiff Hardin Advises Edoc Acquisition Corp. as Underwriter in $90M IPO

Schiff Hardin served as Underwriter’s Counsel in Edoc Acquistion Corp.’s initial public offering of 9 million units of securities at $10 per unit.

News Release

Schiff Hardin Advises I-Bankers Securities as Underwriter in $138M IPO

Schiff Hardin advised I-Bankers Securities, Inc. as underwriter in East Stone Acquisition Corp.’s initial public offering of 12 million Units of its securities.

Newsletter
Newsletter
Trending Legal Issue
Trending Legal Issue

SEC Proposes Clawback Rules

On July 1, 2015, the Securities and Exchange Commission (SEC) issued a proposed rule that implements the clawback provisions of the Dodd-Frank Act.

Trending Legal Issue
Alert

Coming Soon: New Incentive Comp Limits for Financial Institutions

In June 2016, several federal agencies published a proposed rule on incentive-based compensation arrangements, which implements an important section of the Dodd-Frank Act.

Alert

ISS and Glass Lewis Policy Updates for the 2016 Proxy Season

With the 2016 proxy season getting started, we would like to remind clients that Institutional Shareholder Services (ISS) and Glass Lewis have each made some revisions to their 2016 voting policies. If your proxy statement involves any of the following topics, you should review these updates.

Alert

SEC Enforcement Action Finds Confidentiality and Waiver Provisions in Severance Agreement Violate Dodd-Frank Whistleblower Protections

The SEC has settled an enforcement action with a public company, finding that severance agreements containing a confidentiality provision and a waiver of the right to claim a whistleblower award violate the SEC rule which prohibits impeding whistleblower communications to the SEC.

Alert

CFTC Enters its First Non-Prosecution Agreements

The U.S. Commodity Futures Trading Commission (CFTC) recently announced its first use of non-prosecution agreements – in connection with three Citigroup employees accused of utilizing spoofing strategies.

Alert

Preparing for the 2017 Proxy Season

With 2017 proxy season kicking off, we would like to remind clients and friends of some developments that could impact public company annual reporting for 2017.

Alert

SEC Proposed Rule Changes Intended to Simplify Regulation S-K

The Securities and Exchange Commission (SEC) proposed rule amendments last week that are intended to both simplify and modernize Regulation S-K’s disclosure requirements.

Blog Post

Shareholders Demand More Disclosure of Climate-Change Risks

Schiff Hardin Energy & Environmental Law Adviser

Alert

U.S. Supreme Court Rules That An SEC Enforcement Claim For Disgorgement Is Subject To A Five-Year Statute Of Limitations

Today, the U.S. Supreme Court unanimously held that any claim for disgorgement in an SEC enforcement action must be commenced within five years of the date the claim accrued.

Alert

U.S. Supreme Court to Decide Whether Failure to Make Required MD&A Disclosure Can Provide Basis for Damages Under Rule 10b-5

On March 27, the U.S. Supreme Court granted a petition for certiorari to decide whether a public reporting company can be held liable for damages under Rule 10b-5 of the Securities Exchange Act of 1934 for failure to include a disclosure mandated by an SEC rule.

Alert

2018 Rising Trends in Corporate Climate Disclosures

The arrival of a new year marks the beginning of the annual proxy season. And this year, shareholders can expect to see a lot more climate change disclosure in 2017 corporate financials.

Alert

New Pass-Through Deduction Presents Tax Planning Opportunities for Pass-Through Owners

The Tax Cuts and Jobs Act (the “Act”) will dramatically change the tax treatment of income from many partnerships, limited liability companies, and S corporations.

Alert

SEC’s Amended Definition of “Smaller Reporting Company” Means More Companies Qualify for Scaled Disclosure Requirements

On June 28, 2018, the Securities and Exchange Commission (SEC) voted to amend the definition of “smaller reporting company” to allow more companies to use the scaled disclosure requirements available to smaller reporting companies.

Article
Alert

COVID-19: NASDAQ Proposal to Permit Longer Compliance Periods with Continued Listing Requirements

In continuation of the comprehensive nationwide regulatory effort to mitigate adverse effects of the COVID-19 pandemic on U.S. capital markets and ensuing market volatility, the NASDAQ Stock Market has proposed listing rule changes designed to ease the compliance burden.

Alert

COVID-19: NASDAQ Proposal to Provide a Temporary Exception from Shareholder Approval Requirements

In its most recent effort to mitigate adverse effects of the COVID-19 pandemic on U.S. securities markets and to ease issuers’ access to capital, the NASDAQ Stock Market implemented a temporary exception from its shareholder approval requirements through June 30, 2020, effective immediately.

Alert

Public Companies: Heed SEC Guidance on Reporting Difficulties in Light of Coronavirus

The SEC has announced efforts to assist and guide market participants that may be impacted by the coronavirus. Public reporting companies should confer with their legal advisers regarding disclosure issues that may arise as a result of the global virus.

Alert

SEC Extends Conditional Regulatory Relief and Issues Disclosure Guidance Regarding COVID-19

The SEC extended its previously granted public company regulatory relief and issued staff guidance yesterday regarding disclosure obligations in light of the continued complications associated with the COVID-19 pandemic.

Alert

SEC Grants Conditional Regulatory Relief to Certain Companies and Market Participants Impacted by Coronavirus

The U.S. Securities and Exchange Commission (SEC) issued an order that grants conditional regulatory relief for certain publicly traded company filing obligations in light of the rapidly spreading coronavirus pandemic.

Alert

SEC Issues Guidance for Annual Shareholder Meetings During Coronavirus Pandemic

U.S. Securities and Exchange Commission (SEC) staff announced guidance to assist public companies with facilitating their upcoming annual shareholder meetings during the ongoing COVID-19 pandemic.

Alert

SEC Provides Informal Guidance on COVID-19 Relief Regarding Incorporation by Reference of Information from Proxy Materials into Form 10-K

On March 25, the U.S. Securities and Exchange Commission (SEC) granted public company regulatory relief and issued Staff guidance regarding disclosure obligations in light of the continued complications associated with the COVID-19 pandemic.

Alert

SEC Urges Companies to Provide Robust, Forward-Looking Disclosure on COVID-19 Impact in Earnings Releases and Investor Calls

In anticipation of the raft of earnings releases and analyst and investor calls that will take place in the next few weeks, the U.S. Securities and Exchange Commission (SEC) issued a public statement in which SEC Chairman Jay Clayton and Director of the Division of Corporation Finance William Hinman urge issuers to provide robust, forward-looking disclosures regarding the impact of COVID-19 in their upcoming earnings releases and analyst and investor calls.

Alert

Small to Mid-Size Businesses: New SEC Changes Simplify and Increase Access to Capital and Investment

On November 2, the U.S. Securities and Exchange Commission (SEC) adopted final rules relating to the modernization and harmonization of the private offering framework. These rules were initially proposed on March 4, 2020, and were adopted with few changes based on comments received.