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
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
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
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
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
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
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
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
1/20/2020
/ Amended Rules ,
Auditor Independence ,
Broker-Dealer ,
CFTC ,
Disclosure Requirements ,
EU ,
FDIC ,
Filing Requirements ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
OCC ,
Securities and Exchange Commission (SEC)
SEC/CORPORATE -
Dodd-Frank Legislation Directs SEC to Amend Rule 701 and Regulation A+ -
On May 24, President Trump signed into law the Economic Growth, Regulatory Relief and Consumer Protection Act. While the Act...more
SEC/CORPORATE -
SEC Division of Corporation Finance Issues C&DIs on Proxy Rules and Proxy Statements, Overhauling Telephone Interpretations Manual -
On May 11, the staff of the Division of Corporation Finance of the...more
SEC/CORPORATE -
SEC Guidance Expanding Exclusions for Non-GAAP Information -
The Securities and Exchange Commission’s Division of Corporation Finance issued two new Compliance and Disclosure Interpretations (C&DI),...more
5/14/2018
/ C&DIs ,
Customer Due Diligence (CDD) ,
EU ,
FinTech ,
Institutional Shareholder Services (ISS) ,
Non-GAAP Financial Measures ,
Portal ,
Recovery Plans ,
Regulation S-K ,
Securities and Exchange Commission (SEC) ,
UK
SEC/CORPORATE -
Implementation of Pay Ratio Disclosure Requirement Not Expected to Be Delayed -
On September 15, at the ABA Business Law Section Annual Meeting, the Securities and Exchange Commission (SEC) Division of...more
9/25/2017
/ C&DIs ,
Collateralized Debt Obligations ,
Commodity Trading Advisors (CTAs) ,
CPOs ,
Disclosure Requirements ,
EU ,
Executive Compensation ,
Financial Conduct Authority (FCA) ,
MiFID II ,
Mortgage-Backed Securities ,
No-Action Relief ,
Pay Ratio ,
Regulation A ,
Regulation S-K ,
UK
SEC/CORPORATE -
SEC Division of Corporation Finance Issues New and Updated C&DIs on Omission of Financial Information from Draft Registration Statements -
Since the adoption of the Fixing America’s Surface...more
9/5/2017
/ C&DIs ,
Corporate Issuers ,
Emerging Growth Companies ,
EU ,
Executive Compensation ,
Interpretive Opinions ,
Investment Adviser ,
Investment Funds ,
Materiality ,
MiFID II ,
Registration Statement ,
UK
SEC/CORPORATE -
SEC Approves NYSE Amendments Regarding Notice Related to Dividends and Stock Distributions -
On August 14, the Securities and Exchange Commission approved a rule change which will now require New York...more
ISS Releases 2017 Proxy Voting Guideline Updates -
On November 21, ISS published its 2017 Proxy Voting Guideline Updates, which will be in effect for meetings held on or after February 1, 2017. The US 2017 updates cover...more
12/5/2016
/ C&DIs ,
CFTC ,
EU ,
European Commission ,
Financial Conduct Authority (FCA) ,
Forex ,
Glass Lewis ,
Institutional Shareholder Services (ISS) ,
NFA ,
Proxy Season ,
UK ,
UK Brexit
SEC/CORPORATE -
SEC Division of Corporation Finance Issues C&DIs on Exempt Offerings Under Rule 701 and Sales of Securities Under Rule 144(d) -
On October 19, the staff of the Division of Corporation Finance of...more
SEC/CORPORATE -
SEC Approves Amendments to Implement Provisions of the JOBS Act and FAST Act -
On May 3, the Securities and Exchange Commission approved amendments to revise certain rules under the Securities...more
SEC/CORPORATE -
SEC Settles With Adviser That Allegedly Overcharged Management Fees and Misled Investors -
On January 19, the Securities and Exchange Commission announced that it had settled with Equinox Fund...more