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SEC Levies Extensive Penalties for Late Beneficial Ownership Reporting and Insider Transaction Reports

On September 25, 2024, the Securities and Exchange Commission (SEC) announced settlements with 23 entities and individuals for untimely reporting related to their respective holdings and transactions in public company stock....more

Twelve Planning Tips to Avoid Complications with the SEC’s Cybersecurity Disclosure Rules: Part I

Key Point: To avoid inadvertently increasing enforcement and litigation risks, companies should consider these suggestions to minimize headaches with the SEC’s final rules that mandate (a) disclosures in annual report of...more

Preparing for December 1 Compliance with NYSE and Nasdaq Clawback Policy Listing Standards

On June 9, 2023, the Securities and Exchange Commission (SEC) approved the executive compensation clawback listing standards and relevant amendments proposed by the New York Stock Exchange (NYSE) and the Nasdaq Stock Market...more

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