Corporate Defense and Disputes

Important developments in U.S. securities law, white collar criminal defense, regulatory enforcement and other emerging issues impacting financial services institutions, publicly traded companies and private investment funds

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SEC Proposes Broad New Climate Change Disclosure Requirements

By Julia Alonzo, Amy Gordon, Steven R. Burwell, Peter Castellon, Michael Choate, Michael E. Ellis, Steven L. Lichtenfeld, Ben Orlanski, Louis Rambo, William J. Tuttle and Frank Zarb on Posted in Corporate Governance, ESG, SEC Enforcement
Last week, the U.S. Securities and Exchange Commission proposed a set of sweeping new rules requiring public companies to disclose climate-related risks in their registration statements and periodic reports.  Under the proposed rules, public companies would have to disclose the actual and potential impacts of climate change on their business, management and governance processes to … Continue Reading

SEC Adopts Final Rule on “Test-the-Waters” Communications

By William J. Tuttle and Karen J. Garnett on Posted in SEC Enforcement, Securities Law
On September 25, 2019, the Securities and Exchange Commission (the “SEC”) adopted Rule 163B under the Securities Act of 1933, as amended (the “Securities Act” ), which permits all issuers, including business development companies (“BDCs”) and registered investment companies (collectively, “Funds”), to gauge market interest in contemplated registered securities offerings by engaging in oral or … Continue Reading
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