Summary -
The Securities and Exchange Commission (SEC) recently adopted new Rule 14a-19 and amended existing federal proxy rules to require public companies to use universal proxy cards in all non-exempt solicitations...more
Summary -
Public companies should enhance their disclosure on the impact of climate change in line with the SEC’s open comment letter issued on September 29, 2021....more
The Securities and Exchange Commission announced that it adopted amendments to modernize Rule 14a-8—the shareholder proposal rule, which governs the process for a shareholder to have its proposal included in a public...more
On May 21, 2020, the Securities and Exchange Commission (the SEC) announced the adoption of amendments to certain rules and forms relating to financial disclosures about acquisitions and dispositions of businesses “to improve...more
On May 4, 2020, the staff of the Division of Corporation Finance (the Staff) of the United States Securities and Exchange Commission (Commission) released guidance in the form of four frequently asked questions (FAQs) related...more
In an effort to keep up with the monitoring of, and response to, the effects and evolving dynamics of the COVID-19 pandemic, on April 24, 2020, the Securities and Exchange Commission (SEC) announced the formation of an...more
In response to the COVID-19 pandemic, both the New York Stock Exchange (NYSE) and The Nasdaq Stock Market LLC (Nasdaq) have sought to provide temporary relief for certain listed companies on their respective exchanges....more
On April 8, 2020, Jay Clayton, Chairman of the Securities and Exchange Commission (Commission), and William Hinman, Director of the Commission’s Division of Corporation Finance, released an unusual public statement addressing...more
As companies continue to grapple with the impact of the COVID-19 outbreak on their ongoing operations, shareholder meetings have become an area of increasing concern for those companies subject to the reporting requirements...more
On April 6, 2020, the Securities and Exchange Commission (Commission) updated its Exchange Act Forms Compliance and Disclosure Interpretations (C&DIs) by answering two questions related to the Commission’s March 25, 2020,...more
As a result of the operational and economic turmoil that has been caused by the global spread of COVID-19, many public reporting companies are considering disclosure obligations regarding the various ways the virus has...more
On March 25, 2020, the United States Securities and Exchange Commission (SEC) issued a new order (the Order) and guidance (the Guidance) which continued to provide regulatory relief to public companies whose operations may be...more
The fallout from the 2019 coronavirus disease (COVID-19) outbreak has significantly impacted a number of global industries and financial markets, causing uncertainty and disruptions that continue to evolve....more
3/13/2020
/ Coronavirus/COVID-19 ,
Corporate Governance ,
Disclosure Requirements ,
Filing Deadlines ,
Filing Requirements ,
Form 8-K ,
MD&A Statements ,
Proxy Statements ,
Publicly-Traded Companies ,
Relief Measures ,
Required Forms ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
The Securities and Exchange Commission is providing temporary regulatory relief due to the novel coronavirus outbreak....more
3/12/2020
/ Coronavirus/COVID-19 ,
Corporate Governance ,
Disclosure Requirements ,
Filing Deadlines ,
Filing Requirements ,
Form 10-K ,
Publicly-Traded Companies ,
Relief Measures ,
Required Forms ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
On August 8, 2019, the Securities and Exchange Commission (the SEC) voted to propose rule amendments to modernize the description of business, legal proceedings, and risk factor disclosures that public companies are required...more
8/16/2019
/ Corporate Governance ,
Disclosure Requirements ,
Financial Regulatory Reform ,
Publicly-Traded Companies ,
Registration Statement ,
Regulation S-K ,
Regulatory Agenda ,
Regulatory Oversight ,
Regulatory Requirements ,
Reporting Requirements ,
Rulemaking Process ,
Securities and Exchange Commission (SEC)
The Securities and Exchange Commission (SEC) recently voted to propose new Rule 163B under the Securities Act of 1933, as amended (the Securities Act), and amendments to Rule 405 (collectively, the Proposed Rule) promulgated...more
3/4/2019
/ Accredited Investors ,
Capital Markets ,
Emerging Growth Companies ,
Gun-Jumping ,
Offerings ,
Prospectus ,
Publicly-Traded Companies ,
Qualified Institutional Buyers ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
The Securities and Exchange Commission (SEC) last week adopted a final rule amending Regulation A to broaden eligibility for its exemption from full SEC registration. ...more
12/31/2018
/ Capital Markets ,
Exemptions ,
Final Rules ,
Financial Regulatory Reform ,
Public Offerings ,
Publicly-Traded Companies ,
Regulation A ,
Regulatory Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
Nearly two years after issuing the proposed rule, the U.S. Securities and Exchange Commission (SEC) on August 5, 2015, adopted by a 3-2 vote, the final rule on CEO-to-median employee pay ratio disclosure in what has become...more
8/7/2015
/ Compliance ,
Data Security ,
Disclosure Requirements ,
Dodd-Frank ,
Employees ,
Executive Compensation ,
Foreign Workers ,
Full-Time Employees ,
Part-Time Employees ,
Pay Ratio ,
Payroll Records ,
Privacy Policy ,
Publicly-Traded Companies ,
Regulation S-K ,
Seasonal Workers ,
Securities and Exchange Commission (SEC) ,
Tax Records ,
Temporary Employees
The Securities and Exchange Commission (SEC) recently proposed rules requiring national securities exchanges such as the New York Stock Exchange and NASDAQ to establish listing standards requiring publicly traded companies to...more
Recent amendments to the NYSE MKT Company Guide provide that NYSE MKT-listed companies can comply with that Exchange’s immediate release policy by disseminating required information using any method or combination of methods...more