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• SEC Adopts Issuer Stock Repurchase Amendments ( November 2003 )
  

  The SEC recently adopted amendments to Rule 10b-18,1 a rule that provides issuers with a safe harbor from market manipulation liability under the federal securities laws. The amendments are intended to simplify and update the safe harbor provisions in light of market developments since the adoption of Rule 10b-18 in 1982.

• New SEC Rules Under Sarbanes-Oxley: Impact Beyond Issuers ( April 2003 )
  

  Recently, the SEC issued a series of final rules under the Sarbanes-Oxley Act of 2002 (the "Act"). Besides the obvious impact of these rules on accountants and broker-dealers that happen to be public reporting companies subject to the Act, they contain certain provisions that significantly impact non-SEC reporting, broker-dealers, as well as the attorneys who work at such companies or represent them as outside counsel.

• What You Need To Know About the Corporate Fraud Bill ( January 2003 )
  

  President Bush signed the Sarbanes-Oxley Act on July 30, 2002, which had been approved the prior week by the House and the Senate. This Bill has far reaching affects on publicly traded companies, auditors, attorneys, analysts and investment banks.

• Investment Management Update ( May 2000 )
  

  This article discusses some of the key points of the release relating to electronic delivery of information and an issuer's liability for Web site content.

• New Regulation FD Prohibits Selective Disclosure--Winter 2000 ( December 2000 )
  

  This article summarizes the new Regulation FD which prohibits public companies from selectively disclosing material information to analysts and institutional investors before making the same disclosures to individual investors and the general public.

• Private Placement Offerings ( May 2000 )
  

  A private placement offering is the sale of stock of a company to private investors without the use of public market exchanges. Although the end result of a private placement offering is the same as a public sale of stock through the exchange markets (i.e. the sale of stock to the private investor), unlike a public offering, a private placement offering does not involve securities that are registered with the Securities & Exchange Commission ("SEC").

• Releasing Research Reports -- What Can You Do? ( September 1999 )
  

  We frequently are asked by our investment banking clients whether their colleagues in the research department can issue a research report on a company about to launch a financing.

• Securities Alert--July 1999 ( July 1999 )
  

  The Securities and Exchange Commission (the "SEC") recently adopted amendments to Rule 504 of Regulation D ("Rule 504"). Rule 504 provides an exemption from registration under the Securities Act of 1933 (the "Act") for offerings of non-reporting issuers to raise "seed capital" in an aggregate amount of no more than $1 million in a 12-month period.