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"SEC Staff Issues Statement on Conflict Minerals Ruling"

The U.S. Securities and Exchange Commission’s Division of Corporation Finance issued a statement on the effect of a recent circuit court decision on the SEC’s conflict minerals rules. In an April 14 ruling, the U.S. Court of...more

5/2/2014 - Conflict Mineral Rules First Amendment SEC

"SEC Conflict Minerals Disclosure Requirements Ruled Unconstitutional"

On April 14, the U.S. Court of Appeals for the District of Columbia Circuit ruled that the U.S. Securities and Exchange Commission’s conflict minerals disclosure requirements are unconstitutional and remanded the matter to...more

4/16/2014 - Conflict Mineral Rules Disclosure Requirements Dodd-Frank SEC

"The JOBS Act: The Resurgent IPO Market and What We Learned in Year Two"

Almost two years have passed since the Jumpstart Our Business Startups Act (the JOBS Act) was signed into law to ease regulatory burdens on smaller companies and facilitate public and private capital formation. The provisions...more

1/27/2014 - Dodd-Frank Emerging Growth Companies Financial Regulatory Reform FINRA Funding IPO JOBS Act Public Disclosure Sarbanes-Oxley SEC Startups

Planning for the 2014 Annual Meeting and Reporting Season

In This Issue: - Incorporate lessons from 2013 say-on-pay results - Prepare for new Form SD (Specialized Disclosure) filing requirements - Ensure compliance with revised listing standards related to compensation...more

12/10/2013 - Audits Board of Directors Compensation Committee Compliance Corporate Governance Disclosure Requirements Dodd-Frank Executive Compensation Filing Requirements Form SD Forum Selection Clause IRC Pay Ratio PCAOB Say-on-Pay SEC Section 162(m) Shareholder Votes Shareholders

"Corporate Finance Alert: Changing the Private Placement Playbook – General Solicitation and General Advertising Now Permitted for...

On September 23, 2013, new Securities and Exchange Commission rules took effect that: - Eliminate the prohibition against general solicitation and general advertising in private offerings made in reliance on Rule 506...more

10/15/2013 - Bad Actors General Solicitation Private Equity Private Offerings Regulation D Rule 506 Offerings Safe Harbors SEC Securities Act of 1933

"SEC Resource Extraction Issuer Disclosure Rules Vacated"

On July 2, 2013, the U.S. District Court for the District of Columbia vacated the resource extraction issuer disclosure rules adopted last year by the Securities and Exchange Commission pursuant to Section 1504 of the...more

7/8/2013 - American Petroleum Institute Chamber of Commerce Disclosure Requirements Dodd-Frank First Amendment Natural Resources Resource Extraction SEC Section 1504

"SEC Staff Issues Conflict Minerals & Resource Extraction Payments Disclosure Guidance"

The staff of the Division of Corporation Finance of the U.S. Securities and Exchange Commission recently issued long-awaited guidance on two of the more controversial provisions of the Dodd-Frank Act — the conflict minerals...more

6/7/2013 - Conflict Mineral Rules Disclosure Requirements Dodd-Frank Resource Extraction SEC

"Deadline Approaching for Compensation Committee Charter Amendments"

As a reminder, by July 1, 2013, compensation committee charters must comply with the new New York Stock Exchange (NYSE) and Nasdaq Stock Market (Nasdaq) listing requirements that were approved by the Securities and Exchange...more

5/23/2013 - Compensation Committee Deadlines Dodd-Frank Nasdaq NYSE SEC

"New CFTC Swap Clearing Rules to Require Board Review and Approval of the Election to Rely on the 'Commercial End-User Exception'"

New Commodity Futures Trading Commission (CFTC) swaps clearing rules will force non-financial entities to stop uncleared trading of certain interest-rate swaps (IRS) and index credit default swaps (index CDS) starting on...more

3/14/2013 - CFTC Commercial End-User Exception Credit Default Swaps Derivatives Clearing Organizations Dodd-Frank Interest Rate Swaps Mandatory Clearing Requirements Swaps

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