September 2021

Unregistered M&A broker can’t enforce client contract

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…

August 2021

SEC Approves Nasdaq Board Diversity Rules

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…

More Changes to Hart-Scott-Rodino Act Enforcement

On August 3, 2021, the United States Federal Trade Commission (FTC) announced the latest in a series of important updates to antitrust enforcement under the Hart-Scott-Rodino (HSR) Act. This new announcement comes on the heels of the Biden Administration…

July 2021

The SPAC Train Rolls On

This article was featured in Lawyers Weekly on July 15, 2021.Over the past year, the Securities and Exchange Commission issued a series of announcements seemingly designed to cool down the red-hot market for special purpose acquisition companies, or SPAC…

May 2021

SPACs Meet SEC Headwinds

Amidst the ongoing surge in the number of special purpose acquisition companies (“SPACs”) undertaking initial public offerings of securities and the SPACs’ related business combinations with private targets (commonly referred to as “de-SPAC transac…

April 2021

Diversity, Equity and Inclusion in the Board Room: Nasdaq’s Proposed Board Diversity Requirements

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…