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Public Companies Update: Reminders for the 2024 Form 10-K and Proxy Statement Filing Season

In this Client Alert, we highlight key considerations public companies should keep in mind when preparing their upcoming annual reports on Form 10-K and proxy statements, including rule changes, recent guidance and reporting...more

Clawback Policies - FAQs on Listing Standards Proposed by Nasdaq and NYSE

In October 2022, the SEC adopted rules implementing the incentive-based compensation recovery (clawback) mandated by Section 954 of the Dodd-Frank Act....more

Reminders for the 2023 Annual Report and Proxy Season

As public companies prepare their 2022 annual reports and 2023 proxy statements, they will need to contend with a host of new requirements and disclosure updates stemming from the current geopolitical and economic...more

SEC Adopts Amendments to 10b5-1 Plans

On December 14, 2022, the Securities and Exchange Commission (SEC) unanimously voted to adopt amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 (Exchange Act), adding new conditions to the availability of...more

[Webinar] Public Companies Update - January 11th, 9:30 am - 10:30 am ET

Please join us for a Public Companies Update. During this webinar, we will equip you for the 2022 Form 10-K and proxy season through an interactive discussion of key updates to securities laws and regulations, corporate...more

Are You Prepared? Important Reminders for the 2020 Form 10-K and Proxy Season

During the past year, the Securities and Exchange Commission (SEC) adopted a number of amendments to its rules and regulations and issued additional guidance that will impact the Form 10-Ks and proxy statements that public...more

PCAOB Provides Guidance on Critical Audit Matters

On July 11, 2019, the Public Company Accounting Oversight Board (PCAOB) issued two companion pieces providing “insights” into the PCAOB’s requirements for the presentation of critical audit matters (CAMs) in the auditor’s...more

Five Things to Consider Before Launching a Crowdfunding Offering

In 2015, the Securities and Exchange Commission (SEC) adopted Regulation Crowdfunding. This created a new way for small companies to raise the capital they need to build their businesses by publicly offering investments...more

Regulation Crowdfunding – Funding Portals and Other Crowdfunding Intermediaries

Title III of the Jumpstart Our Business Startups Act (JOBS Act) created a new securities registration exemption for crowdfunding offerings by adding Section 4(a)(6) to the Securities Act of 1933 (the Securities Act). In late...more

JOBS Act Update: SEC Adopts Regulation Crowdfunding

Over three years after the passage of the landmark Jumpstart Our Business Startups Act (JOBS Act), in late October the Securities and Exchange Commission (SEC) adopted Regulation Crowdfunding, a new regulatory framework that...more

JOBS Act Update: SEC Adopts Reg. A+ Rules

On March 25, 2015, the Securities and Exchange Commission (SEC) voted to adopt groundbreaking rules implementing Section 3(b)(2) of the Securities Act of 1933 (the Securities Act), as mandated by Title IV of the JOBS Act...more

Public Companies Take Note: SEC Launches Enforcement Initiative Targeting Section 16 and Other Shareholder Filings

The Securities and Exchange Commission (SEC) recently announced charges against 28 public company officers, directors and ten percent shareholders for repeated violations of federal securities laws requiring them to promptly...more

Guidance Provides Path Forward for Accredited Investor Verification

As mandated by Congress in Section 201(a) of the Jumpstart Our Business Startups Act, in July 2013 the Securities and Exchange Commission (SEC) amended Rule 506 under Regulation D of the Securities Act of 1933, creating a new...more

Recent Developments for Intrastate Crowdfunding and Social Media Use

In June 2013, the N.C. House of Representatives approved HB 680, the Jumpstart Our Business Startups Act (NC JOBS Act) by an overwhelming bipartisan vote of 103-1. Designed to utilize the “intrastate offering” exemption found...more

JOBS Act Update: SEC Proposes New Rules to Update Regulation A Offerings

In mid-December, the Securities and Exchange Commission (SEC) voted to propose rules updating the framework to the existing Regulation A offering. The rules would implement new Section 3(b)(2) of the Securities Act of 1933,...more

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