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Mark Wood

Mark Wood

Katten Muchin Rosenman LLP


Latest Publications

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SEC Roundtable Discusses Current Securities Law Topics at 33rd Annual Ray Garrett Jr. Corporate and Securities Law Institute

On May 2, Lona Nallengara and Shelley E. Parratt, the acting director and the deputy director, respectively, of the Securities and Exchange Commission’s Division of Corporation Finance, participated in a roundtable...more

5/15/2013 - Conflict Mineral Rules Investigations Regulation FD Roundtable Rulemaking Process SEC Securities Exchange Act

SEC Provides Guidance Regarding Social Media and Regulation Fair Disclosure (Regulation FD)

On April 2, in connection with an investigation of Netflix, Inc. and its Chief Executive Officer, Reed Hastings, regarding a possible violation of Regulation FD, the Securities and Exchange Commission released a Report of...more

4/9/2013 - Facebook Investors Netflix Public Disclosure Reed Hastings Regulation FD SEC Social Media

SEC Advisory Committee on Small and Emerging Companies Makes Recommendations

On March 21, the Securities and Exchange Commission Advisory Committee on Small and Emerging Companies (Advisory Committee) submitted several recommendations to the SEC on rules, regulations and policies relating to emerging...more

4/9/2013 - Dodd-Frank Equity Markets Privately Held Corporations SEC SEC Advisory Committee Small Business Trading Recommendations

NASDAQ Proposes Internal Audit Function Requirement for Listed Issuers

On March 4, the Securities and Exchange Commission published notice that The NASDAQ Stock Market LLC (NASDAQ) had filed a proposed new rule that would require each NASDAQ-listed issuer to maintain an internal audit function....more

3/26/2013 - Internal Audit Functions Nasdaq SEC

Mary Jo White, Nominee for Chair of the SEC, Appears Before Senate Banking Committee

On March 12, Mary Jo White, President Obama’s nominee to chair the Securities and Exchange Commission, appeared at her confirmation hearing before the US Senate Committee on Banking, Housing and Urban Affairs....more

3/19/2013 - Confirmation Proceedings Mary Jo White SEC

Recent SEC Speeches Focus on Investor Protection and Disclosure

Members of the Securities and Exchange Commission have recently given several speeches in which they expressed their views (sometimes inconsistent) as to investor protection and disclosure to investors in SEC filings....more

3/6/2013 - Disclosure Requirements Investors SEC

SEC Roundtable Discusses Decimalization and Tick Sizes

On February 5, the Securities and Exchange Commission hosted a roundtable discussion regarding the impact that decimal-based pricing increments (i.e., decimalization), which replaced fraction-based tick sizes in 2001, has had...more

2/12/2013 - Decimalization Roundtable SEC

ISS Announces ISS Governance QuickScore to Replace GRId

Institutional Shareholder Services (ISS) recently announced that, effective in late February or early March, it is replacing its Governance Risk Indicators (GRId) database with the new ISS Governance QuickScore (QuickScore),...more

2/12/2013 - GRId System ISS Proxy Statements QuickScore Risk Assessment Shareholders

Petitioners File Opening Brief Challenging SEC's Conflict Minerals Rule

The National Association of Manufacturers, the Chamber of Commerce of the United States of America and Business Roundtable recently filed their opening brief with the US Court of Appeals for the District of Columbia Circuit...more

2/12/2013 - Chamber of Commerce Conflict Mineral Rules Disclosure Requirements Dodd-Frank National Association of Manufacturers Reporting Requirements SEC

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