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A to-do list for the fourth quarter – three key topics for public companies, plus action items

As summer winds down, we want to highlight three topics public companies need to keep in mind as they head into fall. The first relates to certain amendments adopted by the SEC that require hyperlinks to exhibits in exhibit...more

The Hot List: 2017 proxy season trends and action items

As we enter 2017, we want to bring to your attention a few items that we believe will play a prominent role in the upcoming 2017 proxy season. In 2016, as we had predicted, proxy access was the foremost hot topic,...more

SEC continues to focus on internal control failures

The SEC has settled charges against Texas-based oil company Magnum Hunter Resources Corporation (MHR) and several individuals. The list of individuals implicated in this proceeding includes MHR’s Chief Financial Officer,...more

Non-GAAP measures - expecting an SEC crackdown

During the past few months, members of the SEC staff have been foreshadowing a renewed focus on enforcement of reporting of financial metrics and the use of “non-GAAP” financial measures by companies in the capital raising...more

Need some "specificity" in your proxy card? New SEC interpretation

The SEC's Division of Corporation Finance has issued a new interpretation related to the form of proxy requirements. The interpretation relates to the specificity with which an issuer must describe a Rule 14a-8 shareholder...more

Supply chain management and the conflict minerals rules – action items for 2016

In enacting Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Congress expressly stated its view that “the exploitation and trade of conflict minerals is helping to finance conflict characterized...more

Conflict minerals rule – limited portion invalidated; June 2 filing deadline looms

The US Court of Appeals for the District of Columbia has issued an opinion in the legal challenge to the conflict minerals rule adopted by the Securities and Exchange Commission in late 2012. A divided court concluded...more

US District Court vacates SEC’s Resource Extraction Rule

On Tuesday, the US District Court for the District of Columbia ruled against the Securities and Exchange Commission on a motion for summary judgment related to the SEC’s resource extraction rule. A copy of the court’s...more

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