The Commission has announced an unprecedented enforcement initiative against officers, directors, and major stockholders for violating beneficial ownership reporting requirements and against public companies for their roles...more
Court denies emergency motion for a stay.
By order issued on May 14, 2014, the U.S. Court of Appeals for the District of Columbia denied the appellants’ emergency motion for a stay of the Securities and Exchange...more
Stay of conflict minerals disclosure may be decided by May 26, 2014.
On May 7, the U.S. Court of Appeals for the District of Columbia Circuit ordered the briefing schedule that was requested by the National Association...more
Amendment eliminates prohibition on the receipt of compensatory fees and aligns NASDAQ listing rules with NYSE standards.
On December 11, 2013, NASDAQ Stock Market LLC amended its listing standards relating to the...more
On December 18, 2013, the Securities and Exchange Commission (SEC) proposed rules to enhance access to capital by smaller companies pursuant to its rulemaking mandate under Title IV of the Jumpstart...more
Organizations affected by the proposed rule, which may take effect for the 2016 proxy season, should consider submitting comments to the SEC.
On September 18, in order to implement the mandated disclosures under...more
On July 10, 2013, the U.S. Securities and Exchange Commission (SEC) issued a series of three releases — referred to in this White Paper as the General Solicitation Release, the Bad Actors Release, and the Proposing...more
FAQs clarify which entities and payments are subject to the final rules.
On May 30, the Securities and Exchange Commission (SEC) released frequently asked questions (FAQs) providing guidance on certain aspects of its...more
Companies are required to comply with certain of the new listing standards relating to compensation adviser independence by July 1, 2013.
On January 11, 2013, the Securities and Exchange Commission (SEC) approved...more