Publications

• “Private IPOs”: Is PISCES the Future of Private Share Listings?
  21 November 2024
  Morgan J. Hayes
  ,
  Nicholas P. Pellicani
  ,
  Vera Losonci
  ,
  Evgenii Lebedev
  ,
  Maayan G. Stein
• Schedule 13G Accelerated Filing Deadline Reminder
  20 September 2024
  Nicholas P. Pellicani
  ,
  Marc Ponchione
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
  ,
  Emma V. Hauber
• SEC Charges Carl Icahn and Icahn Enterprises L.P. for Failing to Disclose Pledges of Securities
  21 August 2024
  Andrew J. Ceresney
  ,
  Morgan J. Hayes
  ,
  Matthew E. Kaplan
  ,
  Benjamin R. Pedersen
  ,
  Nicholas P. Pellicani
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Victoria S. Li
• FCA Publishes Consultation Paper on Admission to Trading Regime
  5 August 2024
  Nicholas P. Pellicani
  ,
  Vera Losonci
  ,
  Bethania Berhane
  ,
  Yiran Ji
  ,
  Evgenii Lebedev
  ,
  Toby Wenham Rogers
• Compliance Reminder: August 31 Deadline for Form 13F Filers to File Form N-PX
  1 August 2024
  Benjamin R. Pedersen
  ,
  Nicholas P. Pellicani
  ,
  Marc Ponchione
  ,
  Gary E. Murphy
  ,
  Sheena Paul
  ,
  Victoria S. Li
  ,
  Maayan G. Stein
  ,
  Ashley Yoon
  ,
  Talia Lorch
• FCA Publishes New UK Listing Rules
  16 July 2024
  Nicholas P. Pellicani
  ,
  Vera Losonci
  ,
  Yiran Ji
  ,
  Evgenii Lebedev
  ,
  Toby Wenham Rogers
• Dual Listing for Depositary Receipts
  18 June 2024
  Alan Kartashkin
  ,
  Nicholas P. Pellicani
  ,
  Vera Losonci
  ,
  Evgenii Lebedev
  ,
  Toby Wenham Rogers
• Global Trade Law Review: European Union Green Bonds Regulation
  9 May 2024
  Global Trade Law Review
  Nicholas P. Pellicani
  ,
  Vera Losonci
  ,
  John Young
• EU Green Bonds Regulation
  20 February 2024
  Nicholas P. Pellicani
  ,
  Vera Losonci
  ,
  John Young
• FRC Publishes 2024 UK Corporate Governance Code
  31 January 2024
  Dominic Blaxill
  ,
  Nicholas P. Pellicani
  ,
  Vera Losonci
  ,
  Yiran Ji
• 2024 International Capital Markets Outlook
  3 January 2024
  Alan Kartashkin
  ,
  Nicholas P. Pellicani
  ,
  Vera Losonci
  ,
  Gavin Benson
  ,
  Paul Eastham
  ,
  Jennifer Lang
  ,
  Evgenii Lebedev
  ,
  Aleksei Shapovalov
• FCA Publishes Near-Final Proposals for Major Reforms to the UK Listing Regime
  2 January 2024
  Nicholas P. Pellicani
  ,
  Vera Losonci
  ,
  Yiran Ji
• FCA Censures Former FTSE 100 Company under EU Market Abuse Regulation
  28 November 2023
  Nicholas P. Pellicani
  ,
  Vera Losonci
  ,
  Gavin Benson
• SEC Amends Section 13 Reporting Requirements
  12 October 2023
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Benjamin R. Pedersen
  ,
  Nicholas P. Pellicani
  ,
  Marc Ponchione
  ,
  William D. Regner
  ,
  Jeff Robins
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
  ,
  Chris Gallucci
  ,
  Ashley Yoon
• SEC Charges Insiders and Issuers for Failing to Timely File Beneficial Ownership Reports
  29 September 2023
  Morgan J. Hayes
  ,
  Robert B. Kaplan
  ,
  Nicholas P. Pellicani
  ,
  Julie M. Riewe
  ,
  Steven J. Slutzky
  ,
  Mark D. Flinn
  ,
  Chris Gallucci
• Law360: Breaking Down The UK's Draft Updates To Prospectus Regime
  29 September 2023
  Law360
  James C. Scoville
  ,
  Nicholas P. Pellicani
  ,
  Vera Losonci
  ,
  Toby Wenham Rogers
• SEC Releases New and Updated Guidance on Amended Rule 10b5-1
  29 August 2023
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Benjamin R. Pedersen
  ,
  Nicholas P. Pellicani
  ,
  Amy Pereira
  ,
  Chris Duff
• The UK Government Publishes Near-Final Draft Update of the Prospectus Regime
  11 August 2023
  Nicholas P. Pellicani
  ,
  James C. Scoville
  ,
  Vera Losonci
  ,
  Toby Wenham Rogers
• Compliance & Enforcement: SEC Adopts Share Repurchase Disclosure Rules
  19 May 2023
  Compliance & Enforcement
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Nicholas P. Pellicani
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
  ,
  Jonathan R. Tuttle
  ,
  Charu A. Chandrasekhar
• FCA Proposes Bold Reforms to UK Listing Process
  15 May 2023
  Nicholas P. Pellicani
  ,
  James C. Scoville
  ,
  Vera Losonci
  ,
  Toby Wenham Rogers
• SEC Adopts Share Repurchase Disclosure Rules
  12 May 2023
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Nicholas P. Pellicani
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
  ,
  Jonathan R. Tuttle
  ,
  Charu A. Chandrasekhar
• 2023 International Capital Markets Outlook
  26 January 2023
  Alan Kartashkin
  ,
  Nicholas P. Pellicani
  ,
  James C. Scoville
  ,
  Vera Losonci
  ,
  Evgenii Lebedev
  ,
  Toby Wenham Rogers
• SEC Releases New and Updated Guidance on Non-GAAP Financial Measures
  14 December 2022
  Eric T. Juergens
  ,
  Benjamin R. Pedersen
  ,
  Nicholas P. Pellicani
  ,
  Steven J. Slutzky
  ,
  Ashley Yoon
  ,
  Alexander R. Altieri
• Shareholder Proposals under Rule 14a-8: Practical Guidance for Proxy Season
  14 December 2022
  Eric T. Juergens
  ,
  Nicholas P. Pellicani
  ,
  William D. Regner
  ,
  John Jacob
  ,
  Austin Poon
  ,
  Ashley Yoon
• New Public Disclosure Requirements for Foreign Private Issuers of OTC-Quoted Rule 144A Debt Securities
  30 November 2022
  Alan Kartashkin
  ,
  Nicholas P. Pellicani
  ,
  James C. Scoville
  ,
  Vera Losonci
• SEC Proposes Significant Amendments to Section 13 Reporting Requirements and Deadlines
  16 February 2022
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Peter J. Loughran
  ,
  Nicholas P. Pellicani
  ,
  Marc Ponchione
  ,
  Steven J. Slutzky
  ,
  Maayan G. Stein
• 2021/2022 Private Equity Year-End Review and Outlook
  January 2022
  Jonathan Adler
  ,
  Catherine Amirfar
  ,
  Christopher Anthony
  ,
  Katherine Ashton
  ,
  Andrew L. Bab
  ,
  Geoffrey P. Burgess
  ,
  Ezra Borut
  ,
  Andrew J. Ceresney
  ,
  Jennifer L. Chu
  ,
  Jeffrey P. Cunard
  ,
  Alexander R. Cochran
  ,
  E. Drew Dutton
  ,
  Jane Engelhardt
  ,
  Morgan J. Hayes
  ,
  Eric T. Juergens
  ,
  Maurizio Levi-Minzi
  ,
  Nicholas P. Pellicani
  ,
  Ryan T. Rafferty
  ,
  Julie M. Riewe
  ,
  Scott B. Selinger
  ,
  Marc Ponchione
  ,
  Thomas Smith
  ,
  Ramya S. Tiller
  ,
  Patricia Volhard
  ,
  Richard Ward
  ,
  Marshal L. Bozzo
  ,
  Christopher Dortschy
  ,
  Andrew J. Gershon
  ,
  Emily F. Huang
  ,
  Jennifer Wheater
  ,
  Dominic Blaxill
  ,
  Charles Cartiglia
  ,
  Robert T. Dura
  ,
  Matthew J. Sacco
  ,
  Sheng Shao
  ,
  Sergio Torres
  ,
  Charlotte A. Walkovik
  ,
  Paul Eastham
  ,
  Christopher Gossage
  ,
  Robert B. Kaplan
  ,
  Sheena Paul
  ,
  John Young
  ,
  Jin-Hyuk Jang
  ,
  Lukas Ott
  ,
  Andrew M. Levine
  ,
  Stuart Hammer
  ,
  Ulysses Smith
  ,
  Luke Dembosky
  ,
  Avi Gesser
  ,
  Peter J. Irwin
  ,
  Ina C. Popova
  ,
  Samantha J. Rowe
  ,
  M. Natasha Labovitz
  ,
  Sidney P. Levinson
  ,
  Paul D. Rubin
  ,
  Eric Dinallo
  ,
  Marilyn A. Lion
  ,
  Jacob W. Stahl
  ,
  Nicholas F. Potter
  ,
  Kim T. Le
  ,
  Adam Aukland-Peck
  ,
  Melissa Runsten
  ,
  Matthew Mrozek
  ,
  Michael C. Godbe
  ,
  Christel Y. Tham
  ,
  Lisa Wang Lachowicz
  ,
  Yiran Ji
• SEC Proposes Significant Amendments Regarding 10b5-1 Trading Plans and Augmented Trading-Related Disclosure Requirements
  16 December 2021
  Andrew J. Ceresney
  ,
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Nicholas P. Pellicani
  ,
  Steven J. Slutzky
  ,
  Jonathan R. Tuttle
  ,
  Charu A. Chandrasekhar
• NYSE Further Amends Related Party Transaction Approval Requirements
  27 August 2021
  Matthew E. Kaplan
  ,
  Nicholas P. Pellicani
  ,
  Joshua M. Samit
• SEC Chairman Gensler Announces Review of Rules Governing Trading Plans by Insiders
  8 June 2021
  Lawrence K. Cagney
  ,
  Matthew E. Kaplan
  ,
  Jonathan F. Lewis
  ,
  Peter J. Loughran
  ,
  Steven J. Slutzky
  ,
  Nicholas P. Pellicani
• NASDAQ Follows the NYSE with Rule Changes that Permit Primary Issuances Alongside Direct Listings
  26 May 2021
  Matthew E. Kaplan
  ,
  Steven J. Slutzky
  ,
  Nicholas P. Pellicani
• NYSE Amends Related Party Transaction Approval Requirements
  25 May 2021
  Matthew E. Kaplan
  ,
  Nicholas P. Pellicani
  ,
  Joshua M. Samit
• SEC Approves NYSE Primary Direct Listings (Again)
  24 December 2020
  Matthew E. Kaplan
  ,
  Nicholas P. Pellicani
• Compliance & Enforcement: SEC Brings Enforcement Action Against Investment Adviser for Section 13 Beneficial Ownership Reporting Failures
  23 September 2020
  Compliance & Enforcement
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Nicholas P. Pellicani
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
• SEC Brings Enforcement Action Against Investment Adviser for Section 13 Beneficial Ownership Reporting Failures
  21 September 2020
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Nicholas P. Pellicani
• NYSE Provides Temporary Shareholder Approval Exemptions in Light of COVID-19
  22 May 2020
  Morgan J. Hayes
  ,
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Peter J. Loughran
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
  ,
  Nicholas P. Pellicani
• Sponsor Purchases of Portfolio Company Debt: Key Considerations in an Uncertain Environment
  14 May 2020
  Jonathan Adler
  ,
  Lorna Bowen
  ,
  Peter A. Furci
  ,
  Sidney P. Levinson
  ,
  Peter J. Loughran
  ,
  Jeffrey E. Ross
  ,
  Kevin M. Schmidt
  ,
  Scott B. Selinger
  ,
  Steven J. Slutzky
  ,
  Nicholas P. Pellicani
  ,
  Ryan T. Rafferty
  ,
  Julie Stem
• Nasdaq Provides Temporary Shareholder Approval Exemptions in Light of COVID-19
  8 May 2020
  Morgan J. Hayes
  ,
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Peter J. Loughran
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
  ,
  Nicholas P. Pellicani
• The Lexis Practice Advisor Journal: Top 10 Practice Tips
  Winter 2018
  Steven J. Slutzky
  ,
  Nicholas P. Pellicani
• The Lexis Practice Advisor Journal: Top 10 Practice Tips: Secondary Offerings
  Winter, 2018
  The Lexis Practice Advisor Journal
  Steven J. Slutzky
  ,
  Nicholas P. Pellicani
• A Look At Market Trends In Reverse Mergers
  21 March 2017
  Law360
  Paul M. Rodel
  ,
  Nicholas P. Pellicani