Welcome to Goodwin’s Public Company Advisory Practice News Roundup, which highlights the latest developments in SEC and stock exchange regulatory activity, corporate governance and other topics relevant to public company...more
4/13/2026
/ Comment Period ,
Corporate Governance ,
Enforcement Actions ,
Enforcement Statistics ,
GAO ,
Initial Public Offering (IPO) ,
PCAOB ,
Publicly-Traded Companies ,
Regulatory Oversight ,
Rulemaking Process ,
Securities and Exchange Commission (SEC)
The staff of the Division of Corporation Finance (Staff) of the U.S. Securities and Exchange Commission (SEC) has published two FAQs that provide temporary, short-term, no-action relief for directors and officers of foreign...more
3/20/2026
/ Beneficial Owner ,
Board of Directors ,
Corporate Officers ,
EDGAR ,
Filing Requirements ,
Foreign Private Issuers ,
No-Action Letters ,
Relief Measures ,
Reporting Requirements ,
Section 16 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934
On March 5, 2026, the U.S. Securities and Exchange Commission ("SEC") issued an order (the "Exemptive Order") that provides a conditional exemption from the reporting requirements of Section 16(a) of the Securities Exchange...more
On March 4, 2026, SEC Chairman Paul S. Atkins delivered remarks at the Financial Stability Oversight Council’s Artificial Intelligence Innovation Series Roundtable on Strategy and Governance Principles, outlining how the...more
3/9/2026
/ Algorithms ,
Artificial Intelligence ,
Disclosure Requirements ,
Enforcement Actions ,
FSOC ,
Government Agencies ,
Investors ,
Publicly-Traded Companies ,
Regulatory Oversight ,
Risk Management ,
Securities and Exchange Commission (SEC)
Reminder: Effective March 18, 2026, directors and officers of foreign private issuers (“FPIs”) will become subject to reporting of their beneficial ownership and subsequent changes in beneficial ownership on Forms 3, 4, and 5...more
3/5/2026
/ Beneficial Owner ,
Corporate Governance ,
Corporate Officers ,
Directors ,
Disclosure Requirements ,
EDGAR ,
Filing Requirements ,
Final Rules ,
Foreign Private Issuers ,
Insider Trading ,
New Legislation ,
Reporting Requirements ,
Section 16 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934
Welcome to Goodwin’s Public Company Advisory Practice News Roundup, which highlights the latest developments in SEC and stock exchange regulatory activity, corporate governance and other topics relevant to public company...more
3/2/2026
/ C&DIs ,
Corporate Governance ,
Crowdfunding ,
Disclosure Requirements ,
Enforcement Priorities ,
Foreign Private Issuers ,
Initial Public Offering (IPO) ,
New Guidance ,
Publicly-Traded Companies ,
Regulation A ,
Regulatory Reform ,
Rule 14a-8 ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Small Business
In remarks delivered on February 23, 2026 at the U.S. Chamber of Commerce Center for Capital Markets Competitiveness, SEC Chairman Paul S. Atkins reinforced his ongoing agenda aimed at revitalizing U.S. public markets and...more
2/25/2026
/ Accredited Investors ,
Capital Formation ,
Capital Markets ,
Disclosure Requirements ,
Initial Public Offering (IPO) ,
New Legislation ,
Pending Legislation ,
Publicly-Traded Companies ,
Regulatory Agenda ,
Securities and Exchange Commission (SEC) ,
Shareholder Meetings
In remarks delivered on February 17, 2026, at the Texas A&M School of Law Corporate Law Symposium, SEC Chairman Paul Atkins highlighted aspects of his agenda that are of particular interest to public companies and companies...more
2/19/2026
/ Corporate Governance ,
Disclosure Requirements ,
Domestic Corporations ,
Executive Compensation ,
Initial Public Offering (IPO) ,
Mandatory Arbitration Clauses ,
Publicly-Traded Companies ,
Regulation S-K ,
Regulatory Agenda ,
Risk Factors ,
Securities and Exchange Commission (SEC) ,
State of Incorporation
Welcome to Goodwin’s Public Company Advisory Practice News Roundup, which highlights the latest developments in SEC and stock exchange regulatory activity, corporate governance and other topics relevant to public company...more
2/17/2026
/ CD&I ,
Compliance ,
Corporate Governance ,
Delisting ,
Derivatives ,
Digital Assets ,
EDGAR ,
Enforcement Actions ,
Nasdaq ,
PCAOB ,
Proxy Voting ,
Publicly-Traded Companies ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Tender Offers
Welcome to 2026 and Goodwin’s Public Company Advisory Practice News Roundup. We kick off a new year of highlighting the latest developments in SEC and stock exchange regulatory activity, corporate governance and other topics...more
1/20/2026
/ BlackRock ,
Corporate Governance ,
Foreign Private Issuers ,
Initial Public Offering (IPO) ,
Institutional Shareholder Services (ISS) ,
JPMorgan Chase ,
Nasdaq ,
Proposed Rules ,
Proxy Advisory Firms ,
Proxy Voting Guidelines ,
Publicly-Traded Companies ,
Regulation S-K ,
Rule 14a-8 ,
Section 16 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Vanguard
Welcome to Goodwin’s Public Company Advisory News Roundup, which highlights the latest developments with SEC and stock exchange regulatory activity, corporate governance and other topics relevant to public company counseling...more
10/31/2025
/ Artificial Intelligence ,
CARB ,
Class Action ,
Climate Change ,
Constitutional Challenges ,
Corporate Governance ,
Disclosure Requirements ,
Exxon Mobil ,
GAAP ,
Greenhouse Gas Emissions ,
Institutional Investors ,
Institutional Shareholder Services (ISS) ,
Publicly-Traded Companies ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Sustainability ,
Sustainable Business Practices
With March Madness upon us, the Securities and Exchange Commission (SEC) is joining the action by implementing a sweeping set of technical updates known as EDGAR Next that will change how all SEC filers access the Electronic...more
In an en banc decision filed on December 11, 2024, the U.S. Court of Appeals for the Fifth Circuit (Fifth Circuit) vacated the 2021 approval by the U.S. Securities and Exchange Commission (SEC) of rules adopted by The Nasdaq...more
12/18/2024
/ Board of Directors ,
Corporate Governance ,
Disclosure Requirements ,
Diversity and Inclusion Standards (D&I) ,
Listing Standards ,
Minorities ,
Nasdaq ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Vacated ,
Woman Board Members
On March 6, 2024, the SEC adopted expansive new climate disclosure rules (the “Rules”). As noted in our March 12, 2024 client alert summarizing and analyzing the new Rules, litigation challenging the Rules was already...more
On March 6, 2024, the U.S. Securities and Exchange Commission (SEC) adopted final rules that will require expansive new climate-related disclosures in Form 10-K and Form 20-F annual reports and most registration statements....more
3/14/2024
/ Annual Reports ,
Climate Change ,
Compliance ,
Corporate Executives ,
Corporate Governance ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Final Rules ,
Financial Reporting ,
Form 10-K ,
Form 20-F ,
Greenhouse Gas Emissions ,
Internal Controls ,
Registration Statement ,
Risk Assessment ,
Securities and Exchange Commission (SEC)
On June 9, 2023, the U.S. Securities and Exchange Commission (SEC) approved amendments filed earlier that week by the New York Stock Exchange (NYSE) and The Nasdaq Stock Exchange (Nasdaq) that, among other things, provided...more
6/13/2023
/ Clawbacks ,
Corporate Officers ,
Disclosure Requirements ,
Executive Compensation ,
Incentive Compensation ,
Indemnification ,
Listing Standards ,
Nasdaq ,
NYSE ,
Rule 10D-1 ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC)
The US Securities and Exchange Commission (SEC) adopted amendments that will expand quarterly disclosure of share repurchases in Form 10-Q quarterly reports and Form 10-K annual reports filed by domestic operating companies....more
5/9/2023
/ Amended Rules ,
Corporate Governance ,
Disclosure Requirements ,
Final Rules ,
Form 10-K ,
Form 10-Q ,
Form 20-F ,
Publicly-Traded Companies ,
Required Forms ,
Securities and Exchange Commission (SEC) ,
Share Buybacks ,
Stock Repurchases ,
XBRL Filing Requirements
On December 13, 2022, the staff of the Division of Corporation Finance (the “staff”) of the Securities and Exchange Commission (the “SEC”) published seven new or revised Compliance and Disclosure Interpretations (“C&DIs”)...more
On December 13, 2022, the staff of the Division of Corporation Finance (the “staff”) of the Securities and Exchange Commission (the “SEC”) published seven new or revised Compliance and Disclosure Interpretations (“C&DIs”)...more
12/20/2022
/ C&DIs ,
Corporate Governance ,
Disclosure Requirements ,
Financial Reporting ,
Form 10-K ,
Form 10-Q ,
Form 8-K ,
GAAP ,
New Guidance ,
Non-GAAP Financial Measures ,
Publicly-Traded Companies ,
Regulation S-X ,
Securities and Exchange Commission (SEC)
Proxy advisory firms Institutional Shareholder Services (ISS) and Glass Lewis (GL) have issued their policy updates for the upcoming 2023 proxy season. In general, ISS’s updates build incrementally on positions the firm has...more
12/7/2022
/ Board of Directors ,
Climate Change ,
Corporate Governance ,
Diversity and Inclusion Standards (D&I) ,
Environmental Social & Governance (ESG) ,
Executive Compensation ,
Glass Lewis ,
Greenhouse Gas Emissions ,
Institutional Shareholder Services (ISS) ,
Proxy Season ,
Proxy Voting Guidelines ,
Publicly-Traded Companies
The SEC published final rules in late August 2022 that will require new pay versus performance disclosure in 2023 proxy statements, as described in our earlier client alert. These rules will require companies that are not...more
12/1/2022
/ Corporate Governance ,
Disclosure Requirements ,
Executive Compensation ,
Final Rules ,
Financial Reporting ,
Pay Ratio ,
Pay-for-Performance ,
Proxy Season ,
Proxy Statements ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC)
On October 26, 2022, the U.S. Securities and Exchange Commission (“SEC”) adopted regulations (the “final rules”) implementing Section 10D of the Securities Exchange Act of 1934 (“Exchange Act”), which was added by the...more
11/2/2022
/ Clawbacks ,
Corporate Governance ,
Disclosure Requirements ,
Dodd-Frank ,
Executive Compensation ,
Final Rules ,
Financial Reporting ,
GAAP ,
Incentive Compensation ,
Publicly-Traded Companies ,
Regulation S-K ,
Sarbanes-Oxley ,
Section 10D ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
The SEC published final rules in late August 2022 that will require new pay versus performance disclosure in 2023 proxy statements, as described in our recent client alert. These rules will require companies that are not...more
9/16/2022
/ Corporate Governance ,
Disclosure Requirements ,
Dodd-Frank ,
Emerging Growth Companies ,
Executive Compensation ,
Final Rules ,
Pay Ratio ,
Proxy Statements ,
Publicly-Traded Companies ,
Regulation S-K ,
Securities and Exchange Commission (SEC) ,
Smaller Reporting Companies ,
Total Shareholder Return (TSR)
The U.S. Securities and Exchange Commission (SEC) has adopted final rules that will require significant new disclosures in proxy and information statements about the relationship between executive compensation actually paid...more
On July 13, 2022, the U.S. Securities and Exchange Commission (the “SEC”) proposed amendments to Rule 14a-8, which specifies the conditions under which companies can exclude shareholder proposals from the company’s proxy...more