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
1/19/2024
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Board of Directors ,
Clawbacks ,
Corporate Governance ,
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Disclosure Requirements ,
Filing Deadlines ,
Form 10-K ,
Form 10-Q ,
Insider Trading ,
Nasdaq ,
New Guidance ,
NYSE ,
Proxy Season ,
Proxy Statements ,
Publicly-Traded Companies ,
Regulation S-K ,
Required Forms ,
Risk Assessment ,
Securities and Exchange Commission (SEC)
In October 2022, the SEC adopted rules implementing the incentive-based compensation recovery (clawback) mandated by Section 954 of the Dodd-Frank Act....more
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
1/19/2023
/ Annual Reports ,
C&DIs ,
Clawbacks ,
Climate Change ,
Corporate Governance ,
Cybersecurity ,
Delaware General Corporation Law ,
Disclosure Requirements ,
Executive Compensation ,
Form 10-K ,
Interest Rates ,
Pay Ratio ,
Price Inflation ,
Proxy Season ,
Proxy Statements ,
Publicly-Traded Companies ,
Regulation S-K ,
Risk Assessment ,
Russia ,
Say-on-Pay ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Ukraine
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
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
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
1/30/2020
/ Audit Committee ,
Corporate Governance ,
Critical Audit Matters (CAMs) ,
Disclosure Requirements ,
EDGAR ,
Executive Compensation ,
Form 10-K ,
Libor ,
MD&A Statements ,
New Guidance ,
Proxy Season ,
Proxy Statements ,
Publicly-Traded Companies ,
Regulation S-K ,
Securities and Exchange Commission (SEC) ,
UK Brexit ,
XBRL Filing Requirements
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
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
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
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
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
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
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
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
6/3/2014
/ Crowdfunding ,
JOBS Act ,
Offerings ,
Popular ,
Proposed Legislation ,
Public Offerings ,
Registration ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Small Business ,
Small Offering Exemptions ,
Startups ,
Transacting Intrastate Business
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