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Articles by Mark Wood
Techanic Infotech Launches Low-Code Toolkit for Businesses Building Custom eWallets in Record Time
In a rapidly evolving digital economy where speed, security, and user experience define the success of financial products, Techanic Infotech has stepped forward with a transformative solution for businesses aiming to launch their own digital wallets.
Coming Soon- Section 16 Reporting Obligations for Directors and Officers of Foreign Private Issuers
On December 18, 2025, President Trump signed the annual defense bill, aptly named the National Defense Authorization Act for Fiscal Year 2026 (the NDAA), into law. Buried in the NDAA, beginning on page 2718, congressional lawmakers included the "Holding Foreign Insiders Accountable Act" (the HFIAA).
Financial Markets And Funds Quick Take | Issue 39
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds. To read more issues of Katten's Financial Markets and Funds Quick Take, please click here.
Financial Markets and Funds Quick Take | Issue 39
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds. To read more issues of Katten's Financial Markets and Funds Quick Take, please click here.
Milestones are back up! You can submit and view engagements, wedding, anniversaries and birth announcements at Prairie Mountain Media's Milestones form. Obituaries can also be found at DailyCamera.com at dailycamera.com/obituaries.
No Place for a Girl by Karen Wiltshire
Buy from our bookstore and 25% of the cover price will be given to a school of your choice to buy more books. *15% of eBooks. "The inspirational memoir of a pioneering female jockey who confronted sexism and defied the odds to assert her place on the racecourse." View All Editions £25.00 £22.50 In Stock. Same day dispatch on orders before 3pm.
Navigating The Regulatory Landscape – SEC Adopts New Rules Requiring Increased Disclosure On Stock Buybacks – Including Quarterly Reporting Of Daily Repurchase Activity - Securities - United States
On May 3, 2023, by a 3-2 vote, the Securities and Exchange Commission (SEC) adopted amendments to disclosure rules (the "new buyback disclosure rules") relating to repurchases of equity securities by issuers (or repurchases on their behalf), a practice that has continued to attract regulatory attention as the pace and volume of stock buybacks has shown no signs of abating.
Navigating the Regulatory Landscape – SEC Adopts New Rules Requiring Increased Disclosure on Stock Buybacks – Including Quarterly Reporting of Daily Repurchase Activity
On May 3, 2023, by a 3-2 vote, the Securities and Exchange Commission (SEC) adopted amendments to disclosure rules (the “new buyback disclosure rules”) relating to repurchases of equity securities by issuers (or repurchases on their behalf), a practice that has continued to attract regulatory attention as the pace and volume of stock buybacks has shown no signs of abating.
Navigating the Regulatory Landscape - SEC Adopts New Rules Requiring Increased Disclosure on Stock Buybacks - Including Quarterly Reporting of Daily Repurchase Activity | Katten Muchin Rosenman LLP
On May 3, 2023, by a 3-2 vote, the Securities and Exchange Commission (SEC) adopted amendments to disclosure rules (the “new buyback disclosure rules”) relating to repurchases of equity securities by issuers (or repurchases on their behalf), a practice that has continued to attract regulatory attention as the pace and volume of stock buybacks has shown no signs of abating.
Delaware Chancery Court Issues Delman Decision Potentially Increasing Scrutiny of the Actions of SPAC Sponsors and Boards
Tuesday, January 31, 2023 On January 4, the Delaware Chancery Court issued a second decision suggesting that SPAC sponsors and directors proceed with care in connection with de-SPAC transactions (and potentially future SPAC formation). As a result of the recent decision in Delman v. Gigacquisitions3, LLC, et al. and the prior opinion in In re Multiplan Corp.
Delaware Chancery Court Issues Delman Decision Potentially Increasing Scrutiny of the Actions of SPAC Sponsors and Boards
On January 4, the Delaware Chancery Court issued a second decision suggesting that SPAC sponsors and directors proceed with care in connection with de-SPAC transactions (and potentially future SPAC formation). As a result of the recent decision in Delman v. Gigacquisitions3, LLC, et al. and the prior opinion in In re Multiplan Corp.
Crypto in the Public Capital Markets: Opportunities and Challenges
On October 20, Mark Wood, co-head of Katten's National Capital Markets practice, alongside representatives from investment bank H.C. Wainwright & Co., LLC and leading publicly traded Bitcoin miner Bitfarms Ltd., discussed the status of cryptocurrencies and capital raising by crypto-focused market participants as part of Katten's 2022 “Crypto with Katten” annual symposium (you can view the agenda for the symposium here). Below are highlights from the presentation.
EY launches first Financial Services Technology Hub in the Midlands
EY has today announced plans to establish a new Financial Services Technology Hub in the Midlands, as it responds to rising market demand for tech expertise outside London. The new Hub will be run by a four-strong leadership team – Sagar Khandelwal, Heather Hales, Mark Wood and new hire, Joe Murray – and forms part of EY’s ambitious growth target to double its UK financial services technology revenues over the next three years.
BIS Proposed Adding Four Dual-Use Biological Toxins To ECCN
On May 23, 2022, the US Commerce Department’s Bureau of Industry and Security (BIS) published in the Federal Register a proposed rule and request for comments. This proposed rule seeks to amend the Export Administration Regulations (EAR) (15 CFR parts 730-774) by adding four dual-use biological toxins to Export Control Classification Number (ECCN) 1C351 on the Commerce Control List (CCL).
The SPAC Report: Mark Wood, National Capital Markets Practice Co-Head, Speaks With Bloomberg Tax on Proactive Disclosures as SEC Continues to Scrutinize SPACs; Chairman Gensler's Latest Comments on SPAC Regulation | Katten Muchin Rosenman LLP - JDSupra
Recent SEC Comment Letters Recent Securities and Exchange Commission (SEC) comment letters reveal the SEC's close examination of special purpose acquisition companies (SPACs) and their proposed business combinations show no signs of letting up.
Delaware Supreme Court Adopts New Three-Prong Test
Monday, October 11, 2021 In United Food & Commercial Workers Union & Participating Food Industry Employers Tri-State Pension Fund v. Zuckerberg, No. 404, 2020, — A.3d –, 2021 WL 3433261 (Del. Sept. 23, 2021), the Delaware Supreme Court adopted a new three-pronged test for determining whether pre-suit demand by a stockholder plaintiff would have been futile. This new test builds up and refines the Aronson and Rales demand futility tests for derivative claims.
SEC Statements Regarding SPACs Address Warrants and Projections | Lexology
Following the increase in the number of special purpose acquisition companies (SPACs) and the related business combinations between SPACs and private target businesses (commonly referred to as “de-SPAC” transactions), an increase in regulatory scrutiny, particularly from the Securities and Exchange Commission, is emerging.
SEC Statements Regarding SPACs Address Warrants and Projections
Following the increase in the number of special purpose acquisition companies (SPACs) and the related business combinations between SPACs and private target businesses (commonly referred to as “de-SPAC” transactions), an increase in regulatory scrutiny, particularly from the Securities and Exchange Commission, is emerging.
SEC Corp Fin Staff Issues Statement on SPAC Transactions
Friday, April 9, 2021 On March 31, the staff of the Division of Corporation Finance (the Staff) of the Securities and Exchange Commission issued a staff statement (the Staff Statement) relating to accounting, financial reporting and governance issues for private companies to consider before engaging in a business combination with a special purpose acquisition company (SPAC).
Acting SEC Chair Lee Provides Public Statement Welcoming Public Comment on Climate Change Disclosures
Legal Disclaimer You are responsible for reading, understanding and agreeing to the National Law Review's (NLR’s) and the National Law Forum LLC's Terms of Use and Privacy Policy before using the National Law Review website. The National Law Review is a free to use, no-log in database of legal and business articles. The content and links on www.NatLawReview.com are intended for general information purposes only.
Acting SEC Chair Lee Provides Public Statement Welcoming Public Comment on Climate Change Disclosures
On March 15, Acting Securities and Exchange Commission Chair Allison Herren Lee made a public statement (Statement) requesting public input from investors, registrants and other market participants regarding climate change disclosures.
Acting SEC Chair Issues Statement on Climate-Change Disclosures
On February 24, acting Chair of the Securities and Exchange Commission Allison Herren Lee issued a statement that she has directed the Division of Corporation Finance (the “Staff”) to focus on climate-change disclosures in public company filings.
SEC Staff Releases Sample Comment Letter on Securities Offerings During Periods of Market and Price Volatility
February 11, 2021 Cornerstone Research Experts in Focus: Andrea Eisfeldt [VIDEO] by: Narayanan “Nari” Subramanian and Andrea L. Eisfeldt False Advertising Implications of the Trademark Modernization Act by: Michael R. Justus Upcoming Deadline for California Employers to Report Employee Pay and... by: Namal M. Tantula and Matthew Sonne The Federal No Surprises Act and Its Arbitration Provisions by: Gary S. Qualls OFCCP to Rescind Regulation Expanding Religious Exemption for Federal...
SEC Staff Releases Sample Comment Letter on Securities Offerings During Periods of Market and Price Volatility
On February 8, the staff of the SEC’s Division of Corporation Finance (the Staff) published a sample comment letter that the Staff might send to companies that conduct securities offerings during periods of extreme stock price volatility.
Holding Foreign Companies Accountable Act Signed Into Law by President Trump
January 15, 2021 DOJ brings First Criminal Antitrust Charges for No-Poach Agreement... by: Nina G. Beck and Paul J. Covaleski Holding Foreign Companies Accountable Act Signed Into Law by... by: Mark D. Wood and Alyse A. Sagalchik Overview of the Economic Aid Act’s Paycheck Protection Program by: Curtis R. Hearn and Aimee Andrepont Decuir EEOC Proposed Wellness Regulation Restricts Incentives For Voluntary... by: Katrina E.
Holding Foreign Companies Accountable Act Signed Into Law by President Trump
In December 2020, President Donald Trump signed into law the Holding Foreign Companies Accountable Act (the HFCAA). The HFCAA requires auditors of foreign companies that are publicly traded in the US to allow the Public Company Accounting Oversight Board (PCAOB) to inspect the auditors’ audit work papers for audits of non-US operations.
SEC Proposes Rule 144 Tacking Amendments
On December 22, 2020, the Securities and Exchange Commission voted to propose amendments to Rule 144 under the Securities Act of 1933 (the Securities Act) relating to tacking of holding periods for certain “market-adjustable securities.” Under the proposed rules, the Rule 144 holding period with respect to the underlying securities of these market-adjustable securities would not commence until such securities are acquired from the issuer upon conversion or exchange.
SEC Again Approves NYSE’s Direct Listing Rules
On December 22, 2020, the Securities and Exchange Commission approved the New York Stock Exchange’s proposed new direct listing rules to allow companies engaging in a direct listing to raise capital directly through a primary sale of shares, in addition to, or instead of, only facilitating sales of shares by existing shareholders, as previously permitted.
SEC Adopts Amendments to MD&A and Other Financial Disclosures
On November 19, the Securities and Exchange Commission announced that it adopted amendments (the Amendments) to certain financial disclosure requirements in Regulation S-K, including with respect to Management’s Discussion and Analysis of Financial Condition and Results of Operations (MD&A).
SEC Staff Issues Statement Regarding Signature Requirements
On November 20, the Staff of the Division of Corporation Finance, the Division of Investment Management, and the Division of Trading and Markets (the Staff) of the Securities and Exchange Commission issued an updated statement on requirements for manual signatures related to SEC filings.
Division of Corporation Finance Issues Disclosure Consideration for China-Based Issuers
On November 23, the Division of Corporation Finance (the Division) of the Securities and Exchange Commission issued CF Disclosure Guidance: Topic No. 10 (the Guidance), providing the Division’s views regarding disclosure considerations for companies based in or with the majority of their operations in the People’s Republic of China (referred to as “China-based” companies).
Glass Lewis Issues 2021 Proxy Season Updates
On November 23, Glass Lewis issued its Proxy Voting Policy Guidelines for 2021. Glass Lewis, like other proxy advisory firms, reviews proposals to be voted on at public company shareholder meetings and makes voting recommendations to its clients based on its voting policies and standards. Certain significant policy changes for 2021 that Glass Lewis announced are summarized below.
SEC Announces Proposed Amendments to Rule 701 and Form S-8
On November 24, the Securities and Exchange Commission voted to propose amendments (the Proposal) to (1) Rule 701 under the Securities Act of 1933, as amended (Securities Act), which exempts certain compensatory equity offerings by non-reporting issuers from registration under the Securities Act, and (2) Form S-8, which is a registration statement form available for compensatory securities offerings by reporting issuers.
Nasdaq Seeks SEC Approval of Board Diversity Rule
On December 1, the Nasdaq Stock Market LLC (Nasdaq) filed a rule proposal (the Proposal) with the Securities and Exchange Commission that, if approved by the SEC, would require all Nasdaq-listed issuers to comply with listing rules concerning board diversity and related disclosure.
Institutional Shareholder Services 2021 Proxy Season Updates
Friday, November 20, 2020 On November 12, Institutional Shareholder Services (ISS) issued updates to its 2021 US benchmark proxy voting policies. ISS will apply the updated policies to shareholder meetings occurring on or after February 1, 2021. Proxy advisory firms, such as ISS, review proposals to be voted on at public company shareholder meetings and make voting recommendations to their clients based on the firm’s voting policies and standards.
SEC Division of Corporation Finance Releases Financial Reporting Manual Updates
Legal Disclaimer You are responsible for reading, understanding and agreeing to the National Law Review's (NLR’s) and the National Law Forum LLC's Terms of Use and Privacy Policy before using the National Law Review website. The National Law Review is a free to use, no-log in database of legal and business articles. The content and links on www.NatLawReview.com are intended for general information purposes only.
SEC Adopts Amendments Permitting Use of Electronic Signatures for EDGAR Filings
On November 17, the Securities and Exchange Commission adopted amendments to Regulation S-T to permit the use of electronic signatures in executing documents submitted electronically to the SEC through EDGAR. Under existing Rule 302 of Regulation S-T, an electronic EDGAR submission is required to include a typed “conformed” signature of the signatory thereto.
SEC Division of Corporation Finance Releases Financial Reporting Manual Updates
On November 18, the Division of Corporation Finance (Division) of the Securities and Exchange Commission released updates to the Division’s Financial Reporting Manual. The Financial Reporting Manual is a key source of the Division’s informal accounting guidance and has been updated with changes through October 30.
SEC’s Division of Corporation Finance Issues Updated C&DI Regarding Equity Line Financings
On November 13, the Division of Corporation of Finance (Division) of the Securities and Exchange Commission updated Compliance and Disclosure Interpretation 139.13 (C&DI). The C&DI addresses equity line financings, whereby a company will rely on the private placement exemption from registration to sell securities under an equity line and then seek to register the “resale” of those securities.
SEC Approves Amendments to Harmonize and Simplify Offering Exemptions
On November 2, the Securities and Exchange Commission voted to adopt a set of amendments (the Amendments) to “harmonize, simplify and improve the multilayer and overly complex exempt offering framework” to “promote capital formation and expand investment opportunities while preserving or improving important investor protections,” according to the SEC’s press release announcing the Amendments.
Retain Justice Carney
To the editor: We are fortunate in Alaska to have a merit selection system for judges embodied in the Alaska Constitution. The state’s Constitutional Convention decided on a three-pronged basis for the selection of our judges.
SEC Adopts Amendments to Modernize Auditor Independence Rules
Legal Disclaimer You are responsible for reading, understanding and agreeing to the National Law Review's (NLR’s) and the National Law Forum LLC's Terms of Use and Privacy Policy before using the National Law Review website. The National Law Review is a free to use, no-log in database of legal and business articles. The content and links on www.NatLawReview.com are intended for general information purposes only.
SEC Adopts Amendments to Modernize Auditor Independence Rules
On October 16, the Securities and Exchange Commission adopted amendments (the Amendments) to its long-standing auditor independence rules. The Amendments, which largely mirror the amendments proposed in December 2019, reflect updates based on recurring fact patterns and related SEC staff consultations, respond to recent changes in capital market conditions and modify certain aspects of the auditor independence framework set forth in Rule 2-01 of Regulation S-X (Rule 2-01).
SEC Adopts Amendments to Shareholder Proposal Rules
On September 23, the Securities and Exchange Commission voted to adopt amendments to the rules governing the process for the submission of shareholder proposals to be included in a registrant’s proxy statement.
SEC Issues C&DI on COVID-19 Related Benefits
On September 21, the Division of Corporation Finance of the Securities and Exchange Commission issued a new Compliance and Disclosure Interpretation (C&DI) regarding the treatment of benefits provided to executive officers in light of the COVID-19 pandemic and whether such benefits constitute perquisites or personal benefits that must be disclosed in a registrant’s summary compensation table and included when determining the registrant’s three most highly compensated officers (other than the...
SEC Stays Implementation of New NYSE Direct Listing Rules
As discussed in the August 31, 2020 edition of the Corporate & Financial Weekly Digest, on August 26, the Securities and Exchange Commission (SEC) approved rules proposed by the New York Stock Exchange (NYSE) to allow companies engaging in a direct listing to raise capital directly through the sale of primary shares upon the direct listing, in addition to, or instead of, facilitating sales of shares solely by existing shareholders.
Updated Rules and Definitions: SEC News August 31, 2020
Monday, August 31, 2020 SEC Approves New NYSE Direct Listing Rules On August 26, the Securities and Exchange Commission approved rules proposed by the New York Stock Exchange (NYSE) to allow companies engaging in a direct listing to raise capital directly through the sale of primary shares upon the direct listing, in addition to, or instead of, facilitating sales of shares solely by existing shareholders.
SEC Approves New NYSE Direct Listing Rules
On August 26, the Securities and Exchange Commission approved rules proposed by the New York Stock Exchange (NYSE) to allow companies engaging in a direct listing to raise capital directly through the sale of primary shares upon the direct listing, in addition to, or instead of, facilitating sales of shares solely by existing shareholders. Direct Listings Generally A direct listing provides a path for a company to go public without engaging in a traditional initial public offering (IPO) process.
SEC Adopts Amendments and Issues Guidance Related to Proxy Voting Advice
July 24, 2020 COVID-19 Testing and HIPAA Compliance by: F. Peter Lehr SEC Adopts Amendments and Issues Guidance Related to Proxy Voting... by: Mark D. Wood and Mark J. Reyes The U.S. Department of Labor Issues New Guidance on Leave and Wage... by: Susan Gross Sholinsky and Garen E. Dodge The Rise of the Dollar Store by: Jessica N. Vara NLRB Provides Much-Needed Reality Check, Lowers Barrier To Employers... by: Daniel B. Pasternak Supreme Court Ruling Limits Insurer and Employer Contraceptive...
SEC Adopts Amendments and Issues Guidance Related to Proxy Voting Advice
On July 22, the Securities and Exchange Commission announced the adoption of amendments (the Amendments) to the SEC’s rules governing proxy solicitations that are intended to “facilitate the ability of those who use proxy voting advice — investors and others who vote on investors’ behalf — to make informed voting decisions without imposing undue costs or delays that could adversely affect the timely provision of proxy voting advice.” The Amendments represent a modified version of the...
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