Dodd-Frank’s “Living Will Rule” and the Impact on Financial Firms

  While the Dodd-Frank Act has had a broad impact on banking, one of the key aspects is the “Living Will Rule,” which seeks to limit the risks of “too big to fail” financial institutions in the United States. In this exclusive LegalMinds/NASDAQ Securities & Capital Market Series interview, Walter Mix III, a former bank [...]

Best Practices in Corporate Governance

  In this exclusive LegalMinds/NASDAQ Securities & Capital Market Series interview, Marsh & McLennan Companies’ (NYSE:MMC) Deputy General Counsel and Corporate Secretary Lucy Fato discusses “best practices” and key corporate governance issues, including the separation of the Chairman and CEO roles, board declassification, shareholder outreach and the challenges of board diversity and recruitment. In addition [...]

The Impact of Dodd-Frank on Private Placements

With the enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act last year, there were sweeping changes in the regulation of the financial markets.  While much of the attention has been on publicly traded securities, recent changes in the legislation are also having an impact on private placements. According to James Smith, a [...]

Share Repurchase Considerations

With an improving economy and an increase in cash assets, many companies are expanding their stock buyback activity.  While few expect an increase to the levels seen five years ago, which capped a meteoric 25 year rise from $5 billion to almost $350 billion, there has been a steady growth in share repurchase in the [...]

Hybrid Financing: Certain Ideas for Uncertain Times

In response to the continued volatility and uncertainty in the public markets, there has been an increase in popularity of hybrid financing vehicles such as PIPEs and Registered Direct offerings for public companies seeking to raise capital. According to James Tanenbaum, chair of Morrison & Foerster’s Global Capital Markets practice, these transactions formats, which have [...]

Impact of Intellectual Property Rights on Valuations for Public Companies

According to Maurice Ross, a partner at the firm of Barton, Barton & Plotkin LLP, “One of the most important issues that companies face is the disconnect between stock prices and the value of their intellectual property.” In this exclusive LegalMindsTV interview, filmed at the NASDAQ MarketSite, Ross discusses how significant changes in the regulatory [...]

Preparing to Raise Capital in Volatile Markets Using a Shelf Registration

In  today’s volatile market, companies are under increased pressure to time their capital-raising needs with changes in the market.  One of the more effective ways for public companies to approach this challenge, says Morrison & Foerster’s Anna Pinedo is through a shelf registration – often referred to as a short-form registration statement – a type [...]

“Say on Pay” and Other Issues for the Upcoming Proxy Season

Each proxy season seems to be getting more and more complicated in terms of the new requirements as to what both the SEC and shareholders expect and this year will be no exception. According to David Lynn, Co-chair of Morrison & Foersters‘ Public Companies and Securities Practice and former Chief Counsel of the Securities and [...]

Protected: Challenges & Opportunities for Chinese Companies Accessing U.S. Capital Markets

There is no excerpt because this is a protected post.