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Treasury Proposes Enhancements to CFIUS Procedures, Penalties, and Enforcement Authority

On April 11, 2024, the U.S. Department of the Treasury issued a Notice of Proposed Rulemaking (NPRM) proposing a new rule updating the mitigation and enforcement provisions of the regulations administered by the Committee on...more

Amendments to California’s Automatic Renewal Law Take Effect

Amendments to California’s automatic renewal law (ARL) enacted in October 2021 go into effect today, July 1, 2022. The amendments add enhanced procedural requirements related to the cancellation of subscription-based products...more

SEC Updates Guidance on Non-GAAP Financial Reporting

On May 17, 2016, the Securities and Exchange Commission (SEC) released updated Compliance and Disclosure Interpretations (C&DIs) related to the use of non-GAAP (Generally Accepted Accounting Principles) financial measures in...more

SEC Adopts Final Rules Requiring Pay Ratio Disclosure

On August 5, 2015, the Securities and Exchange Commission adopted final rules mandating pay ratio disclosures pursuant to Section 953(b)(1) of the Dodd Frank Wall Street Reform and Consumer Protection Act. The rules add a new...more

Amendments to "Regulation A" - A Step Toward Middle Ground in Smaller Company Capital Formation

On March 25, 2015, the Securities and Exchange Commission (Commission) adopted final rules amending Regulation A. These new rules, which are often referred to as Regulation A+, were mandated by Title IV of the Jumpstart our...more

Compliance Date for New OTCQB Marketplace Standards Fast Approaching

OTC Markets Group (OTCQX: OTCM) (OTC Markets) has established new eligibility standards for companies to be able to trade on the OTCQB® Venture Stage Marketplace (the OTCQB). These new standards are aimed at improving...more

Division of Corporation Finance Releases Guidance on Conflict Minerals Rule

The director of the SEC's Division of Corporation Finance issued a public statement yesterday advising issuers to satisfy Form SD filing obligations on a timely basis notwithstanding the recent appellate ruling in National...more

Federal Appellate Court Holds Portions of SEC Conflict Minerals Rule Violate First Amendment

Last week, in the case of National Association of Manufacturers v. Securities and Exchange Commission, the D.C. Circuit Court of Appeals held that the SEC's conflict minerals rule adopted pursuant to the Dodd-Frank Wall...more

M&A Brokers for Private Companies Need Not Register with the SEC

The staff of the SEC recently issued a no-action letter permitting an "M&A Broker" to advise on and be compensated in connection with the purchase and sale of a privately held company without registering as a broker-dealer...more

Condominium Hotel Units: On the Benefits of Being a Security

The potential application of federal and state securities laws to the sale of condominiums when coupled with the opportunity to participate in a rental program (sometimes referred to as a "condohotel," "condominium hotel," or...more

ISS Releases Policy Updates for 2014 Proxy Season and Commences Consultation Period for Longer Term Policy Initiatives

Introduction - Institutional Shareholder Services Inc. (ISS) has released updates to its benchmark proxy voting guidelines for the 2014 proxy season. The updates, which are effective for meetings held on or after...more

New NYSE and NASDAQ Compensation Committee Rules to be Implemented on July 1, 2013

The deadline for companies listed on the New York Stock Exchange or The NASDAQ Stock Market to implement key components of the new listing rules adopted earlier this year related to the independence of compensation committees...more

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