2022 was a busy year in rulemaking for the Securities and Exchange Commission (SEC). As a result, there are many new disclosure requirements for companies to keep top of mind as they work through this year’s annual report,...more
1/27/2023
/ Compliance Dates ,
Corporate Governance ,
Disclosure Requirements ,
EDGAR ,
Final Rules ,
Form 10-K ,
Proxy Season ,
Proxy Statements ,
Publicly-Traded Companies ,
Regulation S-K ,
Securities and Exchange Commission (SEC)
Exchange Act Reports; Securities Act Filings -
On August 26, 2020, the Securities and Exchange Commission announced changes to Regulation S-K intended to modernize certain disclosures related to an issuer’s business...more
COVID-19 has had far-reaching social, economic and regulatory impacts. Nearly all companies (private and public, large and small) have had reason to more frequently convene their boards of directors to review and monitor...more
6/22/2020
/ Board of Directors ,
Clinical Trials ,
Coronavirus/COVID-19 ,
Corporate Governance ,
Derivative Suit ,
Food and Drug Administration (FDA) ,
Internal Controls ,
Life Sciences ,
Oversight Duties ,
Pharmaceutical Industry ,
Research and Development
One of the fastest ways to garner unwanted attention as a publicly-traded life sciences company is to be accused by either a regulator or stockholder that the company disclosed materially misleading information about the...more
5/27/2020
/ Clinical Trials ,
Corporate Governance ,
Disclosure Requirements ,
FDA Approval ,
Food and Drug Administration (FDA) ,
Life Sciences ,
Misleading Impressions ,
Pharmaceutical Industry ,
Publicly-Traded Companies ,
Risk Management ,
Securities and Exchange Commission (SEC)
The SEC declared, effective immediately as of May 14, 2020, a new NYSE rule proposal which provides a temporary exception through June 30, 2020 from the shareholder approval requirements for specified issuances of 20% or more...more
The SEC declared, effective immediately, as of May 4, 2020, a new Nasdaq rule proposal (“Listing Rule 5636T”), which provides a temporary exception, through June 30, 2020...more
Both ISS and Glass Lewis have provided guidance on the application of their respective policies due to the impact of COVID-19. Below is a summary of certain of the guidance and related considerations for public companies...more
The Division of Corporation Finance staff of the Securities Exchange Commission continues to address logistical difficulties arising from COVID-19, in this case with regard to paper Form 144 submissions....more
The SEC has approved and declared immediately effective an NYSE proposed rule change to waive, through June 30, 2020, and subject to compliance with conditions, application of certain of the shareholder approval requirements...more
Exchange Act Reports -
On March 25, 2020, the Securities and Exchange Commission issued an exemptive order modifying its March 4, 2020 order granting regulatory relief for certain publicly-traded company filing obligations...more