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Navigating the Regulatory Landscape – SEC Adopts New Rules Requiring Increased Disclosure on Stock Buybacks – Including Quarterly...

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...more

SEC Adopts Amendments to Rule 10b5-1 Plan Requirements and Increases Disclosure Requirements Regarding Insider Trading Policies

On December 14, the Securities and Exchange Commission (SEC) unanimously adopted amendments to Rule 10b5-1 and related regulations governing "10b5-1 Plans." 10b5-1 Plans enable (1) public company insiders to sell their...more

Katten Partners Present 2022 Proxy Season Update

On December 2, Larry Levin and Alyse Sagalchik, partners in Katten's Capital Markets practice, along with Ernst & Young LLP and Meridian Compensation Partners (Meridian), shared updates for the 2022 proxy season as part of...more

Capital Markets Compass | Issue 2

Capital Markets Compass covers the latest developments in the capital markets, public company, and corporate governance worlds. ...more

Client Alert: SEC Approves Nasdaq's Board Diversity Disclosure Requirements

On August 6, the Securities and Exchange Commission (SEC) approved Nasdaq listing rules implementing new board diversity disclosure requirements that will apply to most Nasdaq-listed companies (the Board Diversity Rules). The...more

Corporate & Financial Weekly Digest, Featuring Articles on NASDAQ Seeks Approval of Board Diversity Rule with SEC, CFTC's Timing...

SEC/CORPORATE - 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...more

Corporate & Financial Weekly Digest, Featuring Articles on SEC Amendments to Simplify Offering Exemptions, New FAQs for Post-Trade...

SEC/CORPORATE - 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...more

Corporate & Financial Weekly Digest, Featuring Articles on the SEC's Modernized Auditor Independence Rules, FINRA Guidance on...

SEC/CORPORATE - 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....more

Corporate & Financial Weekly Digest, Featuring Articles SEC Approvals of Changes to "Accredited Investor" and "Qualified...

SEC/CORPORATE - SEC Amends the Definitions of “Accredited Investor” and “Qualified Institutional Buyer” - On August 26, the Securities and Exchange Commission adopted amendments to the definitions of “accredited...more

Corporate & Financial Weekly Digest, Featuring Articles on Proxy Voting Advice, New CFTC Guidance for Swap Dealers and Updates...

SEC/CORPORATE - 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...more

Corporate & Financial Weekly Digest, Featuring Articles on New Standardized Approaches to Cybersecurity Preparedness, FINRA's...

SEC/CORPORATE - SEC Approves Extension of Temporary NYSE Waiver of Stockholder Approval Rules - Recently, the Securities and Exchange Commission issued a release (the Release) approving, with immediate effectiveness,...more

Corporate & Financial Weekly Digest Featuring Articles on SEC Issues Four FAQs on Conditional Relief Order, FINRA and NASAA Report...

SEC/CORPORATE - SEC Division of Corporation Finance Issues Four FAQs Addressing the SEC’s Conditional Relief Order - On May 4, the Securities and Exchange Commission’s Division of Corporation Finance (the Division)...more

Capital Raising During the COVID-19 Pandemic: Offering Structures for a Volatile Market

Global equity markets have been severely impacted by the coronavirus (COVID-19) pandemic, which has resulted in a period of significant market volatility. In the current environment, public companies may find it more...more

Corporate & Financial Weekly Digest, Featuring Articles on CFTC Rules Changes for Bankruptcy Rules and IOSCO Tackles Sustainable...

SEC/CORPORATE - SEC Approves Temporary NYSE Waiver of Stockholder Approval Rules to Facilitate Capital Raising in the Wake of COVID-19 - On April 6, the Securities and Exchange Commission issued a release (the Release)...more

Corporate & Financial Weekly Digest, Featuring Articles on SEC Publishes Risk Alerts for Reg BI and Form CRS, CFTC Releases...

SEC Division of Corporation Finance Issues C&DI about Conditional Relief Order and Incorporation by Reference Into Form 10-K - On April 6, the Securities and Exchange Commission’s (SEC) Division of Corporation Finance...more

Corporate & Financial Weekly Digest, Featuring Articles on SEC Issues New Compliance and Disclosure Interpretations Related to...

SEC Division of Corporation Finance Issues New C&DIs about the SEC’s Conditional Relief Order and Compliance with Rule 12b-25 - On March 31, the Securities and Exchange Commission’s (SEC) Division of Corporation Finance...more

Corporate & Financial Weekly Digest, Featuring Articles on the Recordkeeping Requirements and Filing Deadline Changes as a Result...

SEC/CORPORATE - SEC Further Extends Filing Deadlines for Companies Impacted by COVID-19 - On March 25, the Securities and Exchange Commission issued an order extending conditional relief (the Modified Order) for...more

Virtual Shareholder Meetings in the Wake of COVID-19: Legal and Practical Considerations

Key Points - In wake of the Coronavirus Disease 2019 (COVID-19) and the public health concerns it raises, public companies should consider whether to hold virtual annual shareholder meetings. This advisory outlines some of...more

Corporate & Financial Weekly Digest, Featuring Articles on Rule Changes for Position Limits and Brexit Transitions

SEC/CORPORATE - SEC Division of Corporation Finance Issues C&DIs on Omission of Third Year From MD&A - As previously discussed in the April 12, 2019 edition of Corporate & Financial Weekly Digest, the Securities and...more

Corporate & Financial Weekly Digest, Featuring Articles on SEC Approves Amendments to FINRA New Issue Rules, CFTC Announces...

SEC/CORPORATE - SEC Approves Amended Rule Change to FINRA Rule 5110 - On December 23, 2019, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority’s (FINRA) proposed amendments to...more

Corporate & Financial Weekly Digest, Featuring Articles on CA Law on Female Board Representation, Cross-Border Swaps Regulation,...

SEC/CORPORATE - California Adopts Law Regarding Female Representation on Boards of Directors of Publicly Held Companies - On September 30, California Governor Jerry Brown signed into law California Senate Bill 826 (SB...more

Corporate & Financial Weekly Digest, Featuring Topics on SEC/Corporate, Broker/Dealer, CFTC and UK/EU/Brexit Developments

SEC/CORPORATE - SEC Adopts Amendments To Simplify and Update Certain Disclosure Requirements - On August 17, the Securities and Exchange Commission announced the adoption of proposed rule amendments (Amendments) to...more

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