The Latest Capital Market Developments

Our guests Joe McLaughlin and Mayer Brown’s Anna Pinedo talk about the 6th edition of their seminal book – “Corporate Finance and the Securities Laws,” including:

1. What are some of the topics that are addressed in the update to the book?
2. Do you think that the SEC and the SEC Staff provided sufficient guidance and relief to market participants during the COVID crisis? Do you think that we will see additional COVID related enforcement actions, like the Cheesecake Factory action?
3. Do you think that the SEC has done enough recently to promote IPOs?
4. Were you surprised to see the SEC approve the NYSE rule change allowing for primary capital raises in connection with direct listings, especially because of the questions raised about Section 11 liability?
5. Do you think that if the safe harbor for forward-looking statements in connection with IPOs were addressed, it would resolve some of the issues being raised about the ability to discuss projections more freely in the context of mergers with SPACs?
6. Do you anticipate that the SEC will do more in terms of amendments to the accredited investor definition?
7. The Democratic Commissioners opposed a number of the rule changes that were adopted during the Chair Clayton tenure, including the amendments to the exempt offering framework—do you anticipate that Chair Gensler will roll some of these back?
8. What about the disclosure effectiveness-related changes—do you think that the SEC’s disclosure effectiveness initiative has been helpful in “modernizing” and “simplifying” SEC disclosures?

For many more Vid-Guides dealing with corporate & securities law, corporate governance, E&S issues and more – particularly if you want to review any Vid-Guides referred to during this Vid-Guide – see the list of Vid-Guides spread throughout these categories:

• Corporate Governance
• Proxy Season
• Executive Pay
• ’34 Act/Other
• ’33 Act/Deals
• Sustainability/E&S
• Career Advice
• Fun Party

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