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Carol B. Stubblefield

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Carol B. Stubblefield is a member of the Firm’s North American Corporate & Securities Practice Group in the New York office. Ms. Stubblefield regularly represents public companies, issuers and underwriters in connection with public and private offerings of debt and equity securities. Ms. Stubblefield provides general corporate counseling and corporate governance advice. She advises companies on M&A transactions, including complex cross-border acquisitions and divestures. She also advises on pre and post transaction restructuring activities.
Carol regularly advises on pro bono matters and is active in the Firm's community service efforts.
In AML & Financial Services Regulatory

United States: SEC reconsiders foreign private issuer framework

by , , , and 2 Mins Read

The Securities and Exchange Commission (SEC) recently published a concept release seeking public comment on redefining the term “foreign private issuer” (FPI). The current framework provides FPIs with less regulation than domestic issuers, based on the understanding that FPIs face different circumstances, such as compliance with home country laws. However, a recent study revealed significant changes in the FPI population, including an increase in China-based issuers incorporated in lightly regulated tax havens. The SEC is concerned that the current FPI definition may no longer be suitable and is considering potential amendments.

In AML & Financial Services Regulatory

United States: The SEC adopts EDGAR Next – What public companies need to know now

by , and 7 Mins Read

On September 27, 2024, the Securities and Exchange Commission (SEC) approved final rules as part of technical amendments to EDGAR (collectively, referred to as “EDGAR Next”) to enhance the security of the system. The rulemaking amends Rule 10 and 11 of Regulation S-T, Form ID (needed to obtain EDGAR access codes) and updates the EDGAR Filer Manual.
EDGAR Next will significantly change how filers access EDGAR, make filings, and manage accounts.

In Corporate Compliance

United States: SEC proposes rules for further disclosure and enhanced investor protections regarding SPACs

by , , , , and 2 Mins Read

On 30 March 2022, the Securities and Exchange Commission approved proposed rules relating to special purpose acquisition companies (SPACs) and released an accompanying fact sheet. Work on the final rules will begin following the public comment period, which ends on the later of 31 May 2022 and 30 days following the publication of the proposing release in the Federal Register.

In Canada

Dealing with COVID-19: What Now for US and Canadian Public Companies?

by , , and 10 Mins Read

In response to the outbreak of Coronavirus Disease 2019 (COVID-19), US and Canadian securities regulators have taken actions and provided guidance to facilitate the public company annual shareholder meeting process and to provide limited relief for public companies unable to meet filing deadlines due to COVID-19. This alert summarizes these…