In an effort to limit exposure and contain Coronavirus Disease-2019 (COVID-19), public companies are monitoring developments in the outbreak and announcements from public health authorities and federal, state, and local...more
3/17/2020
/ Annual Meeting ,
Coronavirus/COVID-19 ,
Corporate Governance ,
EDGAR ,
Filing Deadlines ,
Proxy Statements ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Shareholder Proposals ,
Virtual Meetings
A group of financial regulatory agencies has released for comment revised proposed rules under Section 956 of the Dodd-Frank Act Wall Street Reform and Consumer Protection Act. The rules provide for regulations and guidelines...more
Last week, the U.S. Securities and Exchange Commission (SEC) adopted the final rule permitting crowdfunding, permitting investors to purchase securities over the Internet using a crowdfunding exchange, on October 30, 2015....more
11/2/2015
/ Broker-Dealer ,
Business Development ,
Capital Raising ,
Crowdfunding ,
Disclosure Requirements ,
Financial Statements ,
Funding Options ,
Investors ,
JOBS Act ,
Public Offerings ,
Regulation D ,
Rule 147 ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Small Business ,
Title III
Nearly two years after issuing the proposed rule, the U.S. Securities and Exchange Commission (SEC) on August 5, 2015, adopted by a 3-2 vote, the final rule on CEO-to-median employee pay ratio disclosure in what has become...more
8/7/2015
/ Compliance ,
Data Security ,
Disclosure Requirements ,
Dodd-Frank ,
Employees ,
Executive Compensation ,
Foreign Workers ,
Full-Time Employees ,
Part-Time Employees ,
Pay Ratio ,
Payroll Records ,
Privacy Policy ,
Publicly-Traded Companies ,
Regulation S-K ,
Seasonal Workers ,
Securities and Exchange Commission (SEC) ,
Tax Records ,
Temporary Employees
The Securities and Exchange Commission (SEC) recently proposed rules requiring national securities exchanges such as the New York Stock Exchange and NASDAQ to establish listing standards requiring publicly traded companies to...more
Recent amendments to the NYSE MKT Company Guide provide that NYSE MKT-listed companies can comply with that Exchange’s immediate release policy by disseminating required information using any method or combination of methods...more
Institutional Shareholder Services (ISS) recently released for public comment its 2015 draft voting policies. The draft policies relate to two topics affecting the U.S. market: independent board chair shareholder proposals...more
The Securities and Exchange Commission recently voted unanimously to propose rules that, for the first time, would allow investors to buy stock in companies over the Internet using a crowdfunding exchange. The proposed rules...more
On Sept. 18, 2013, the Securities and Exchange Commission (SEC) issued its proposed rule on the CEO-to-median employee pay ratio disclosure. This proposed rule adds disclosure requirements to Item 402 of Regulation S-K, as...more
The Securities and Exchange Commission (SEC) took long-awaited action on July 10, 2013, to finalize and adopt new rules that eliminate the current prohibition against general solicitation and advertising in certain Rule 506...more