Earlier this week, the US Securities and Exchange Commission (SEC) proposed amendments to Exchange Act Rule 10b5-1 that would impose new restrictions and disclosure requirements for (1) trading plans that afford executives...more
On March 20, 2019, the SEC adopted amendments to existing rules that, among other provisions, permit the omission of certain confidential information from material contracts without separately requesting confidential...more
4/16/2019
/ Confidential Information ,
Disclosure Requirements ,
EDGAR ,
Financial Regulatory Reform ,
Fixing America’s Surface Transportation Act (FAST Act) ,
Form 10-K ,
Form 10-Q ,
Form 8-K ,
GAAP ,
Incorporated by Reference ,
MD&A Statements ,
Regulation S-K ,
Section 16 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
XBRL Filing Requirements
On February 19, 2019, the SEC proposed a new rule, Rule 163B, that would allow all issuers to engage in “test-the-waters” communications prior to the effectiveness of a registration statement for a public offering. The...more
A US District Court recently dismissed a claim that an insider’s election to satisfy an income tax obligation by having shares withheld from the delivery of an award constituted a non-exempt sale of shares back to the issuer...more
The first quarter of 2017 saw quite a few new developments in the Capital Markets & Public Companies regulatory landscape. President Trump’s nominee to be the new Chair of the Securities and Exchange Commission (SEC), Jay...more
4/20/2017
/ Broker-Dealer ,
Capital Markets ,
Emerging Growth Companies ,
Final Rules ,
Foreign Private Issuers ,
Hyperlink ,
IFRS ,
Rule 15c6-1(a) ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Settlement Cycles ,
Securities Transactions ,
XBRL Filing Requirements