News & Analysis as of September 21, 2024

Cybersecurity › Securities and Exchange Commission (SEC) › Annual Reports

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Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk management, global regulations, data protection, leaks, hacking, cyber insurance, compliance, HIPAA, and every other aspect of cybersecurity of import to corporate readers right now. less -

Dechert Cyber Bits - Issue 56

Dechert LLP on 6/14/2024

SEC Fines the New York Stock Exchange’s Parent Company $10 million for Failure to Promptly Notify Its Subsidiaries of Cybersecurity Breach - On May 22, 2024, the Securities and Exchange Commission (“SEC”) imposed a $10...more

Double-Edged Disclosure: Navigating 10-K Season with the SEC’s New Cybersecurity Disclosure Rules

Vinson & Elkins LLP on 3/5/2024

Public companies are now required to comply with new cybersecurity disclosure requirements in their Annual Reports on Form 10-K for fiscal years ending on or after December 15, 2023. In preparing this cybersecurity...more

FINRA Publishes 2024 Annual Regulatory Oversight Report

Goodwin on 1/26/2024

On January 9, 2024, FINRA published its 2024 Annual Regulatory Oversight Report (the “Report”). FINRA publishes the Report as a way to provide its broker-dealer members with insight into findings from FINRA’s Member...more

FINRA Issues 2024 Annual Regulatory Oversight Report

Carlton Fields on 1/19/2024

FINRA issued its 2024 Annual Regulatory Oversight Report on January 9, 2024, providing a glimpse into FINRA’s current regulatory oversight of member firms and their registered personnel in 27 topic areas....more

FINRA Publishes 2024 Annual Regulatory Oversight Report

Mayer Brown Free Writings + Perspectives on 1/18/2024

New Topics and Content Highlight FINRA’s Increased Focus on Cybersecurity, Crypto Assets, Artificial Intelligence, Market Integrity, Off-Channel Communications and Other Key Risk Areas - On January 9, 2024, the Financial...more

Securities Snapshot: 4th Quarter 2023 - The SEC’s Gift to You: New Disclosure Requirements Effective This Quarter

Keating Muething & Klekamp PLL on 1/9/2024

As 2023 comes to an end, we reflect on how active the Securities and Exchange Commission’s rulemaking agenda was throughout the year. As companies prepare for their annual reports and proxy statements, we summarize new...more

Key Considerations for the 2024 Annual Reporting and Proxy Season: Your Upcoming Form 10-K

White & Case LLP on 1/8/2024

Each year in our Annual Memo, White & Case's Public Company Advisory Group provides practical insights on preparing Annual Reports on Form 10-Ks, Annual Meeting Proxy Statements and, for FPIs, the Annual Report on Form 20-F....more

Key Considerations for Updating 2023 Annual Report Risk Factors

White & Case LLP on 12/22/2023

With the 2023 annual report season upon us, it is time for companies to take stock of risk factors for 10-Ks and 20-Fs, and consider whether recent economic, political, technological, and regulatory developments have had (or...more

Annual Report and Shareholder Meeting Season

Seward & Kissel LLP on 12/22/2023

This memorandum is for our Capital Markets clients in anticipation of the upcoming annual reporting and shareholder meeting season for 2024. Below you will find key filing deadlines, new disclosure requirements, and general...more

Preparing for the 2024 Proxy and Annual Reporting Season: Key Issues and Considerations

BakerHostetler on 12/6/2023

For the upcoming 2024 proxy and annual reporting season, there are a number of key issues to consider and keep an eye on for further developments as preparations commence. This alert provides an overview of these issues and...more

[Hybrid Event] Third Annual Navigating the Annual Meeting and Reporting Season Program - November 16th, Houston, TX

Vinson & Elkins LLP on 10/25/2023

In this program, we will focus on SEC developments affecting, and practical aspects of preparing for, public companies’ annual meetings and annual reports, including compensation, shareholder proposals and corporate...more

SEC Deals New Cybersecurity Disclosure Requirements to Public Companies

Carlton Fields on 10/3/2023

On July 26, 2023, the SEC adopted new cybersecurity rules, which have two top-line impacts. First, registrants must disclose material cybersecurity incidents promptly on Form 8-K. Second, registrants must disclose new...more

New SEC Cybersecurity Disclosure Rules

Dorsey & Whitney LLP on 10/2/2023

Canadian issuers that are reporting issuers with the Securities and Exchange Commission should be aware of new rules that impose disclosure requirements regarding cybersecurity risk management, strategy, governance and...more

New SEC Cybersecurity Rules Require Mandatory Disclosure

Dorsey & Whitney LLP on 9/8/2023

On July 26, 2023, the Securities and Exchange Commission adopted new rules imposing disclosure requirements regarding cybersecurity risk management, strategy, governance and incidents. The new rules, which became effective...more

SEC Adopts New Cybersecurity Disclosure Rules

Foley & Lardner LLP on 8/4/2023

On July 26, 2023, the U.S. Securities Exchange Commission (“SEC”) adopted final rules regarding cybersecurity risk management, strategy, governance, and incident reporting by public companies. The final rules require...more

Divided SEC Adopts Controversial Cybersecurity Disclosure Requirements

BCLP on 7/28/2023

A divided SEC on July 26, 2023 approved new requirements for reporting of material cybersecurity incidents in real-time current reports on Form 8-K or 6-K and disclosure of cybersecurity risk management, strategy and...more

Key Considerations for the 2023 Annual Reporting Season: Form 20-F and other FPI-Specific Considerations

White & Case LLP on 1/19/2023

This memorandum outlines key considerations from White & Case's Public Company Advisory Group for foreign private issuers ("FPIs") during the 2023 annual reporting season....more

Reminders for the 2023 Annual Report and Proxy Season

Smith Anderson on 1/19/2023

As public companies prepare their 2022 annual reports and 2023 proxy statements, they will need to contend with a host of new requirements and disclosure updates stemming from the current geopolitical and economic...more

SEC Highlights ESG Enforcement Activity in Annual Report

Mintz on 11/28/2022

The SEC recently announced its yearly summary of enforcement activity. Among the items it chose to highlight were its efforts to enforce ESG-related issues. ESG was one of only a handful of subject matter areas that the SEC...more

Updating Annual Report Risk Factors: Key Developments and Drafting Considerations for Public Companies

White & Case LLP on 11/1/2022

The Annual Report season will soon be upon us, and it is important to assess a company's risk factors at the outset and whether recent developments, including those relating to macroeconomic, geopolitical, and public health...more

CFPB Launches New Initiative Focused on Rural Communities

Goodwin on 3/18/2022

In This Issue. The Consumer Financial Protection Bureau (CFPB) announced a new initiative focused on financial issues faced by rural communities and also updated its examination procedures to cover unfair discrimination; the...more

Key Considerations for the 2022 Annual Reporting and Proxy Season Part I: Form 10-K Considerations

White & Case LLP on 1/12/2022

This is Part I of a two-part series outlining key considerations from White & Case's Public Company Advisory Group for US public companies during the 2022 annual reporting and proxy season. Part I of this memo describes...more

FINRA Releases Annual Report Addressing Areas of Examination Focus for 2021

Hinshaw & Culbertson LLP on 2/23/2021

The Financial Industry National Regulatory Authority (FINRA) announced its 2021 report on FINRA's examination and risk monitoring program on February 1, 2021. According to FINRA, the report combines and replaces two of their...more

FINRA’s 2021 Exam Priorities

UB Greensfelder LLP on 2/4/2021

The world has changed a lot in the last 12 months, but those in the securities industry can always rely on their trusty regulator, FINRA, to put out its annual priorities list to provide some semblance of consistency in the...more

Key Considerations for the 2020 Annual Reporting Season

White & Case LLP on 1/23/2020

This memorandum outlines key considerations from White & Case’s Public Company Advisory Practice for foreign private issuers (“FPIs”) in preparation for the 2020 annual reporting season. It describes our key considerations...more

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