On December 15, 2021, the SEC proposed amendments regarding Rule 10b5-1 trading plans and share repurchase programs. The SEC proposed rules are intended to diminish information asymmetry between public companies and investors...more
On November 5, 2019, the Securities and Exchange Commission (SEC) proposed amendments to Securities Exchange Act Rule 14a-8, which requires a public company to include shareholder proposals in the company’s own proxy...more
11/18/2019
/ Anti-Fraud Provisions ,
Comment Period ,
Investment Adviser ,
No-Action Requests ,
Proposed Amendments ,
Proxy Advisory Firms ,
Proxy Season ,
Proxy Solicitations ,
Proxy Voting Guidelines ,
Public Comment ,
Rule 14a-8 ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Shareholder Proposals
On November 5, 2019, the Securities and Exchange Commission (SEC) proposed amendments to its rules governing proxy solicitations. If adopted in their current form, these proposals could significantly affect interactions...more
11/18/2019
/ Comment Period ,
Conflict Mineral Rules ,
Corporate Governance ,
Glass Lewis ,
Institutional Shareholder Services (ISS) ,
Proposed Amendments ,
Proposed Rules ,
Proxy Advisors ,
Proxy Season ,
Proxy Voting Guidelines ,
Public Comment ,
Securities and Exchange Commission (SEC) ,
Shareholder Proposals ,
Solicitation
In an effort to improve the readability of disclosure documents, as well as discourage repetition and disclosure of information that is not material, the Securities and Exchange Commission (SEC) proposed amendments on August...more
In an effort to reduce compliance costs for public companies, the Securities and Exchange Commission (SEC) proposed amendments on May 9, 2019, that, in part, relax the requirement for certain “smaller reporting companies”...more
8/16/2019
/ Accelerated Filers ,
Attestation Requirements ,
Auditors ,
ICFR ,
Internal Controls ,
Proposed Amendments ,
Public Comment ,
Publicly-Traded Companies ,
Sarbanes-Oxley ,
Section 404 ,
Securities and Exchange Commission (SEC) ,
Smaller Reporting Companies
On March 1, 2017, the Securities and Exchange Commission (SEC) published for comment a proposed rule requiring the use of the Inline eXtensible Business Reporting Language (XBRL) format for the submission of operating company...more
On March 1, 2017, the Securities and Exchange Commission (SEC) published for comment proposed amendments to Rule 15c2-12 under the Securities Exchange Act of 1934 (Exchange Act) that would expand the list of events triggering...more
3/22/2017
/ Collateralized Debt Obligations ,
Default ,
Disclosure Requirements ,
EMMA ,
Form 8-K ,
MSRB ,
Municipal Securities Issuers ,
Municipal Securities Market ,
Municipalities ,
Proposed Amendments ,
Public Comment ,
Rule 15c2-12 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Fraud
On June 27, 2016, the SEC Staff proposed changes to the definition of “smaller reporting company” to expand the number of registrants that would qualify as smaller reporting companies (SRC). The term “smaller reporting...more