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On March 6, 2024, the Securities and Exchange Commission (the “SEC”) adopted, by a 3-2 vote, final rules (the “Final Rules”) to enhance and standardize climate-related disclosures by public entities and public offerings. The Final Rules, which requ…
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On February 6, 2024, the Securities and Exchange Commission (“SEC”) adopted final rules (the “Final Rules”) that will further define the phrase “as a part of a regular business” as used in the statutory definitions of “dealer” and “govern…
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On January 24, 2024, the Securities and Exchange Commission (“SEC”) adopted final rules (the “Final Rules”) to enhance disclosure and investor protection in initial public offerings (“IPOs”) by special purpose acquisition companies (“SPACs”…
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On October 10, 2023, the Securities and Exchange Commission (the “SEC”) adopted amendments to the rules governing beneficial ownership reporting under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”).
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On July 26, 2023, the Securities and Exchange Commission (“SEC”) issued final rules (the “Final Rules”) aimed at enhancing and standardizing public company disclosures regarding cybersecurity risk management, strategy, governance, and incident repo…
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On May 3, 2023, the Securities and Exchange Commission (the “SEC”) adopted amendments to Form PF, which expand the reporting requirements for certain SEC-registered investment advisers to private funds. Form PF was adopted in 2011 through the Dodd-Fran…
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On May 3, 2023, the Securities and Exchange Commission (the “SEC”) adopted rules to enhance disclosure of share repurchases by public companies (the “Share Repurchase Rule”). Under the Share Repurchase Rule, aggregate daily repurchases by an issuer…
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On February 15, 2023, the Securities and Exchange Commission (the “SEC”) issued a proposal to enhance investor protections relating to the safeguarding of advisory client assets by amending and redesignating Rule 206(4)-2 (the “custody rule” or the…
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On December 14, 2022, the Securities and Exchange Commission (the “SEC”) adopted amendments to Rule 10b5-1 (“Rule 10b5-1” or the “Rule”) under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), as well as new disclosure r…
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On October 26, 2022, the Securities and Exchange Commission (the “SEC”) adopted a new rule and certain amendments to existing rules (collectively, the “New Rules”) aimed at increasing accountability and transparency around the recovery by issuers o…
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On July 13, 2022, the Securities and Exchange Commission (the “SEC”) proposed amendments to Rule 14a-8 (collectively, the “Proposed Amendments”) that would modify three of the thirteen substantive bases for excluding shareholder proposals from cons…
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In what may prove to be an important development in the field of administrative law, on May 18, 2022, the United States Court of Appeals for the Fifth Circuit issued an opinion in the case of Jarkesy v. the Securities and Exchange Commission (“SEC”), w…
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On May 25, 2022, the Securities and Exchange Commission (“SEC”) proposed new rules and amendments (collectively, the “Proposed Rules”) that would enhance the disclosure requirements for certain investment advisers and investment companies related t…
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On March 30, 2022, the Securities and Exchange Commission (“SEC”) proposed new rules and amendments (collectively, the “Proposed Rules”) aimed at enhancing disclosure and investor protection in initial public offerings (“IPOs”) by special purpo…
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On March 28, 2022, the Securities and Exchange Commission (the “SEC”) issued a proposal to broaden the definitions of “dealer” and “government securities dealer” (the “Proposed Rules”) under the Securities Exchange Act of 1934, as amended (…
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On March 21, 2022, by a 3-1 vote, the Securities and Exchange Commission (“SEC”) issued proposed amendments to its rules (the “Proposed Rules”) that would require registrants to provide certain climate-related information in their registration stat…
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On March 9, 2022, the Securities and Exchange Commission (“SEC”) issued proposed amendments to its rules aimed at enhancing and standardizing public company disclosures regarding cybersecurity risk management, strategy, governance, and incident reporti…
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On February 9, 2022, the Securities and Exchange Commission (“SEC”) voted to propose new rules and rule amendments relating to cybersecurity risk management and disclosures for registered investment advisers (“Advisers”), and registered investment …
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On February 10, 2022, the Securities and Exchange Commission (the “SEC”) proposed amendments to the rules governing beneficial ownership reporting under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934, as amended (the “Exchange Act�…
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On February 9, 2022, the Securities and Exchange Commission (the “SEC”) issued a proposal to enhance disclosure by, and address certain practices of, private fund advisers under the Investment Advisers Act of 1940 (the “Advisers Act”) (the “Propo…
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On December 15, 2021, the Securities and Exchange Commission (the “SEC”) issued a proposal to amend Rule 10b5-1 (the “Rule”) under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), with the goals of enhancing transparency ar…
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On December 15, 2021, the Securities and Exchange Commission (the “SEC”) issued a proposal to enhance disclosure of share repurchases by public companies (the “Share Repurchase Proposal”). Under the Share Repurchase Proposal, repurchases by an issu…
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Partner Margaret "Peggy" Farrell offers her take on the latest EdgePoint Capital ruling, around a merger-and-acquisition broker’s failure to register as a broker-dealer rendered voidable a contract it entered to sell a client’s business in exchange for…
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Earlier this month, the Securities and Exchange Commission (the “SEC”) issued an order approving new listing rules proposed by The Nasdaq Stock Market LLC (“Nasdaq”) intended to advance board diversity and increase transparency of diversity-related…
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Building on the momentum surrounding diversity and inclusion initiatives that have been evident throughout 2020, in December, Nasdaq submitted a proposal (the “Proposal”) to the Securities and Exchange Commission (“SEC”) that would require most lis…
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This publication was updated and featured in USLAW on March 17, 2021. Click here to view the PDF.Earlier this month, Nasdaq submitted a proposal (the “Proposal”) to the Securities and Exchange Commission (“SEC”) that would require listed companies …
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On November 24, 2020, the Securities and Exchange Commission (“SEC”) issued two proposed rules relating to compensatory offerings under Rule 701 and Form S-8. The SEC has based its proposed changes in large part on a concept release on this topic, orig…
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On October 26, 2020, the Small Business Administration (“SBA”) sought approval from the Office of Management and Budget to require Paycheck Protection Program (“PPP”) borrowers who, together with their affiliates, received loans of $2 million or mo…
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On September 16, 2020, the Securities and Exchange Commission (“SEC”) adopted amendments to Rule 15c2-11 (the “Rule”) under the Securities Exchange Act of 1934 (the “Exchange Act”), an important component of the over-the-counter (“OTC”) reg…
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On October 2, 2020, the U.S. Small Business Administration (SBA) promulgated SBA Procedural Notice 5000-20057 Paycheck Protection Program Loans and Changes of Ownership, that sets forth new guidance requiring Paycheck Protection Program (“PPP”) borrowe…
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The Securities and Exchange Commission (“SEC”) has issued a final rule (the “Rule") revising the definition of “accredited investor” under Regulation D promulgated under the Securities Act of 1933 (the “1933 Act”) [Click for link], which defi…
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On August 24, the Small Business Administration (“SBA”) released a new Paycheck Protection Program (“PPP”) interim final rule to create a new exception to the owner-employee compensation rule and to clarify whether certain nonpayroll costs are elig…
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On August 4, the Small Business Administration (“SBA”) released a new set of Paycheck Protection Program (“PPP”) FAQs focused exclusively on loan forgiveness. This new set of FAQs follows the updated PPP loan forgiveness applications and instructio…
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On July 22, 2020, the Securities and Exchange Commission (“SEC”) amended the Federal proxy voting rules (“Regulation 14A”) to require proxy advisory firms, such as ISS and Glass Lewis, to comply with additional disclosure and procedural requirement…
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With the deadline for businesses to apply for loans under the Small Business Administration’s Paycheck Protection Program (“PPP”) passing on June 30th, Congress voted on Wednesday, July 1st to extend the deadline for submitting PPP loan applications …
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This article was updated on June 24, 2020 to reflect changes to the PPP made by the new Interim Final Rule issued by the SBA on June 22, 2020 (the "June 22 Interim Rule"). A borrower may submit a loan forgiveness application before the end of the borrower…
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Update: On June 5, the President signed the PPPFA into law.Update: On June 3, the PPPFA was passed unanimously by the Senate without amendment. It now goes to President Trump, who has indicated support for the bill’s aims, for signature.On May 28, 2020, …
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On May 22, seven days after releasing the Paycheck Protection Program (“PPP”) loan forgiveness application and instructions, the Small Business Administration (“SBA”) released an Interim Final Rule on Loan Forgiveness (the “Forgiveness Rule”) a…
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This publication was featured in New England Real Estate Journal on June 16, 2020.On May 15, the Small Business Administration (“SBA”) released the much-awaited Paycheck Protection Program (“PPP”) loan forgiveness application and instructions (“S…
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Update: On Friday, May 15, 2020, the House passed H.R. 6800 (the "HEROES Act" for short) by a vote of 208-199.In a new $3 trillion stimulus bill (H.R. 6800) introduced in the House of Representatives on May 12, House Democrats proposed various measures to …
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Update: On May 5, 2020, the SBA issued Frequently Asked Question #43 which extended the repayment date for the safe harbor described below to May 14, 2020, and indicated that further SBA Guidance as to how it will review the “necessity of the loan” cer…
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One of the most attractive features of the Small Business Administration’s (“SBA”) Paycheck Protection Program (“PPP”) loans is a borrower’s eligibility for loan forgiveness if loan proceeds are spent appropriately. However, the amount of the l…
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UPDATE – On April 16, 2020, the Small Business Administration (“SBA”) announced it is unable to accept new applications for the Paycheck Protection Program (“PPP”) and Economic Injury Disaster Loan (“EIDL”) COVID-19 program (including emergen…
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This article was originally published on April 3, 2020 and has been updated based on the April 8, 2020 updates to the SBA’s Paycheck Protection Program Loans Frequently Asked Questions (“FAQs”), found here.On April 2, 2020, the Small Business Adminis…
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The SBA has issued guidance on the affiliation rules (the (“Guidance”) applicable to the implementation of the Paycheck Protection Program (“PPP”). For purposes of determining the number of employees of an applicant to the PPP (which requires an ap…
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On August 15, 2018, the Securities and Exchange Commission (SEC) finalized and adopted amendments to Rule 15c2-12 of the Securities Exchange Act of 1934 (Rule 15c2-12), which proscribes certain notice requirements pertaining to obligations of state and loc…
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On June 28, 2018, the Securities and Exchange Commission (“SEC”) amended the definition of “smaller reporting company” so that more companies qualify and thereby enjoy reduced disclosure obligations. The change might also affect company status unde…
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On May 2, 2018, the Securities and Exchange Commission (SEC) released a proposed rule (“Proposed Rule”) regarding auditor independence standards that aims to ease compliance burdens currently in place when an auditor maintains loans and/or debtor-credi…
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On October 30, 2015, the Securities and Exchange Commission (“SEC”) adopted final crowdfunding rules as required by Title III of the Jumpstart Our Business Startups Act (“JOBS Act”). The proposed crowdfunding rules were released just over two years…
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On August 5, 2015, the Securities and Exchange Commission (SEC) adopted a final rule to implement the “CEO pay ratio” disclosure mandated by Section 953(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act. New Item 402(u) of Regulati…
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On March 25, 2015, following the mandate of Title IV of the Jumpstart Our Business Startups Act (JOBS Act), the Securities and Exchange Commission (SEC) adopted final rules that update and expand Regulation A, which provides an exemption from registration …
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More than 90% of proposed M&A transactions valued at over $100 million are challenged by stockholders in court. In many cases, such actions are brought by stockholders in more than one jurisdiction, thereby requiring companies and their directors to li…
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On July 30, 2013, the Securities and Exchange Commission (“SEC”) made two significant announcements affecting broker-dealers: the adoption of new rules designed to increase protections for investors whose money and securities are held by SEC-registered…
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On July 10, 2013, the Securities and Exchange Commission (the “SEC”) adopted amendments to Rule 506 of Regulation D and Rule 144A under the Securities Act of 1933, as amended (the “Securities Act”) that eliminate the long-standing prohibition on ge…
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On April 10, 2013, the Securities and Exchange Commission (the "SEC") and the Commodity Futures Trading Commission (the "CFTC" and together with the SEC, the "Commissions") jointly adopted rules and guidelines that require certain entities subject to th…
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The Securities and Exchange Commission ("SEC") has approved amendments to the NASDAQ Stock Market ("NASDAQ") and New York Stock Exchange ("NYSE") listing standards regarding the independence of compensation committees and the selection of their advisers. T…
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On August 29, 2012, the Securities and Exchange Commission ("SEC") proposed amendments to Rule 506 of Regulation D and Rule 144A under the Securities Act of 1933 (the "Securities Act") mandated by Section 201(a) of the Jumpstart Our Business Startups Act (…
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On July 21, 2010, President Obama signed the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act"). Title IV of the Dodd-Frank Act codifies the Private Fund Investment Advisers Registration Act of 2010 ("Title IV"), which signifi…
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Hinckley Allen Partner Margaret Farrell is featured in the Providence Business News for her career achievements. Read the provided PDF to read more about Peggy's mark on Rhode Island's business scene.
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In a speech on June 10, 2009, Secretary of the U.S. Department of the Treasury Timothy Geithner announced a set of principles designed to guide the future of executive compensation. The announcement was framed as a set of “standards that reward innovatio…
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Firm News
A multitude of Hinckley Allen attorneys are recognized in their respective practice areas in Best Lawyers® 2024 edition of The Best Lawyers in America®. In addition, 11 Hinckley Allen attorneys were named in the “Lawyers of the Year” category, as wel…
Firm News
Hinckley Allen is pleased to announce that 67 attorneys are recognized in the 2023 edition of The Best Lawyers in America®, including 5 “Lawyers of the Year.” Best Lawyers® has also recognized 24 Hinckley Allen attorneys in their “Ones to Watch” …
Firm News
Hinckley Allen is proud to announce that the 2022 edition of Chambers USA has recognized several of the firm’s practice areas and attorneys for their outstanding work.Chambers USA rankings are based on extensive in-depth interviews with attorneys and cli…
Firm News
Hinckley Allen is pleased to announce that 58 attorneys are recognized in the 2022 edition of The Best Lawyers in America®, including 8 “Lawyers of the Year.” Best Lawyers® has also recognized 15 Hinckley Allen attorneys in their inaugural "Ones to W…
Firm News
Hinckley Allen is proud to announce that the 2021 edition of Chambers USA has recognized several of the firm’s practice areas and attorneys for their outstanding work.Chambers USA rankings are based on extensive in-depth interviews with attorneys and cli…
Firm News
Hinckley Allen is pleased to announce that Best Lawyers® has recognized 59 attorneys in the 2021 edition of The Best Lawyers in America®, including 12 “Lawyers of the Year.” Best Lawyers® has also recognized 10 Hinckley Allen attorneys in their inau…
Firm News
Only one lawyer in each specialty in each region is honored as a “Lawyer of the Year” by Best Lawyers®. Since its first publication in 1983, Best Lawyers® has become universally regarded as the definitive guide to legal excellence. Best Lawyers compi…
Firm News
Hinckley Allen is proud to announce that the 2019 edition of Chambers USA has recognized several of the firm’s practice areas and attorneys for their outstanding work.Chambers USA rankings are based on extensive in-depth interviews with attorneys and cli…
Firm News
Hinckley Allen is pleased to announce that Best Lawyers® has recognized 51 attorneys in the 2019 edition of The Best Lawyers in America®, including seven “Lawyers of the Year.” Only one lawyer in each specialty in each region is honored as a “La…
Firm News
Hinckley Allen is proud to announce that the 2018 edition of Chambers USA has recognized several of the firm’s practice areas and attorneys for their outstanding work.Chambers USA rankings are based on extensive in-depth interviews with attorneys and cli…
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Noble F.Jomarie T.Robert J.James J.Leon C.John J.William W.Christine K.
Firm News
The Chambers USA 2017 edition, has named 18 Hinckley Allen attorneys as leaders in their fields.The Hinckley Allen attorneys featured in the Chambers USA 2017 guide include: William W. Bouton III; Christine K. Bush; Stephen J. Carlotti; Christopher H.M. Ca…
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The Hinckley Allen attorneys featured in the Chambers USA 2016 guide include: E. Jerome Batty; William W. Bouton III; Christine K. Bush; Stephen J. Carlotti; Michael J. Connolly; Scott E. Cooper; Margaret D. Farrell; Robert G.
Firm News
Margaret D. “Peggy” Farrell, a partner at Hinckley Allen, was named the Best Lawyers® 2016 Mergers and Acquisitions Law “Lawyer of the Year” in Providence, RI.Peggy chairs the firm's Securities Law Group and focuses her practice in the area of …
Firm News
Publication Recognizes 20% of the Firm’s PartnershipThe Chambers USA 2015 edition, released on May 19, has named 21 Hinckley Allen attorneys as leaders in their fields The Hinckley Allen attorneys featured in the Chambers USA 2015 guide include: E. Jerom…
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Peggy chairs the firm's Securities Law Group and focuses her practice in the area of corporate and securities law, with extensive experience in business and capital formation, mergers and acquisitions (both domestic and cross border), corporate restruc…
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September 13, 2012 - Hinckley, Allen & Snyder LLP is proud to announce that 44 of its attorneys have been recognized by their peers as being among the nation’s best lawyers in the 2013 edition of The Best Lawyers in America®.Best Lawyers® is based …
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PROVIDENCE, RI - Hinckley, Allen & Snyder LLP is pleased to announce Chambers Guides, an international publisher of guides to the world’s leading lawyers, has recognized seventeen partners of the Firm as leaders in their fields, including top rankin…
Firm News
Hinckley, Allen & Snyder LLP is proud to announce that 41 of its attorneys have been recognized by their peers as being among the nation’s best lawyers in the 2012 edition of The Best Lawyers in America ® 2012. Best Lawyers is based on a peer-review…
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PROVIDENCE, RI - Hinckley, Allen & Snyder LLP is pleased to announce Chambers Guides, an international publisher of guides to the world’s leading lawyers, has recognized nineteen partners of the Firm as leaders in their fields, including top rankings…
Firm News
Hinckley Allen is pleased to announce that 25 of its lawyers and 6 of its practices across three states were ranked by Chambers and Partners in its annual survey, Chambers USA: America’s Leading Lawyers for Business 2023.Chambers rankings are thoroughl…
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