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Nasdaq Proposes Amendments to Compensation Committee Member Independence Rules

On November 26, 2013, the NASDAQ Stock Market LLC (Nasdaq) filed a proposed rule change with the Securities and Exchange Commission (SEC) to amend its listing rules relating to compensation committee member independence. The...more

12/17/2013  /  Compensation Committee , Nasdaq , NYSE , SEC

SEC Charges Former Head of Investor Relations with Violating Regulation FD for Indirect Selective Disclosure

On September 6, 2013, the SEC announced that it had brought charges against, and settled with, the former head of investor relations at an Arizona-based solar energy company for alleged violations of Regulation FD. Regulation...more

SEC Adopts Rules Permitting General Solicitation and Advertising in Private Placements

On July 10, 2013, the Securities and Exchange Commission (SEC) adopted amendments to its private offering safe harbors to implement Section 201(a) of the Jumpstart Our Business Startups (JOBS) Act. In a 4-1 vote, the SEC...more

NYSE Issues Guidance on Use of Social Media as a Disclosure Tool

On April 2, 2013, the SEC issued a report and press release making it clear that companies are permitted to use social media outlets to disclose information in compliance with Regulation FD. More on the SEC's report and press...more

FINRA Releases Guidance on Notice Filings for Private Placements

The Financial Industry Regulatory Authority (FINRA) has released new guidance on filing under FINRA Rule 5123 in the form of a frequently asked questions (FAQs) page and user guide, both available on FINRA's website....more

1/9/2013  /  FINRA , Private Placements , Securities

SEC Denies Motion to Stay New Resource Extraction Payment Disclosure Rules

On October 10, 2012, the American Petroleum Institute and other plaintiffs filed a complaint and petition for review in the Circuit Court and Court of Appeals for the D.C. Circuit relating to new rules promulgated by the SEC...more

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