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)
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)
On March 5, 2026, the SEC issued Release No. 34-104931, granting conditional exemptive relief from the Section 16(a) reporting requirements for directors and officers of certain foreign private issuers (FPIs). ...more
3/9/2026
/ Canada ,
Cross-Border Transactions ,
EU ,
European Economic Area (EEA) ,
Exemptive Orders ,
Exemptive Relief ,
Foreign Private Issuers ,
International Harmonization ,
Korea ,
New Legislation ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Switzerland ,
UK
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
On January 26, 2026, The Nasdaq Stock Market (Nasdaq) filed a rule proposal with the Securities and Exchange Commission (SEC) that would permit the immediate suspension and delisting of a company listed on the Nasdaq Global...more
2/9/2026
/ Capital Markets ,
Comment Period ,
Delisting ,
Listing Rules ,
Nasdaq ,
Proposed Rules ,
Publicly-Traded Companies ,
Regulatory Requirements ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Regulation ,
Stock Prices
The staff of the SEC’s Division of Corporation Finance has announced a significant policy shift in Proxy Rules Revised C&DI Question 126.06 regarding voluntary Notices of Exempt Solicitation under Exchange Act Rule 14a-103. ...more
2/2/2026
/ Beneficial Owner ,
C&DIs ,
Disclosure Requirements ,
Division of Corporate Finance ,
EDGAR ,
Filing Requirements ,
Notice Requirements ,
Proxy Season ,
Rule 14a-8 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Shareholders ,
Solicitation
At this year’s SRI, a few themes popped up in panels across a range of topics: disclosure trends; governance priorities; and frequently discussed interpretive questions....more
1/28/2026
/ Artificial Intelligence ,
Board of Directors ,
CDIs ,
Compensation & Benefits ,
Corporate Governance ,
Disclosure Requirements ,
Filing Requirements ,
Initial Public Offering (IPO) ,
Life Sciences ,
Publicly-Traded Companies ,
Regulatory Oversight ,
Securities and Exchange Commission (SEC)
The Staff of the Division of Corporation Finance has updated several Compliance and Disclosure Interpretations (CDIs) under the Securities Act, proxy rules, and tender offer rules. The changes provide additional clarity on...more
1/27/2026
/ Acquisitions ,
Amended Rules ,
CDIs ,
Corporate Finance ,
Cross-Border Transactions ,
Disclosure Requirements ,
Mergers ,
New Guidance ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Shareholder Activism ,
Tender Offers
On January 20, 2026, the Securities and Exchange Commission announced the senior team from the Division of Corporation Finance responsible for advising James Moloney, Director of the Division of Corporation Finance, on all...more
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
On December 18, 2025, President Trump signed the National Defense Authorization Act (“NDAA”) into law. Among its many provisions, Section 8103—titled the “Holding Foreign Insiders Accountable Act”—introduces a significant...more
On December 11, 2025, President Trump signed an executive order entitled “Protecting American Investors From Foreign-Owned and Politically-Motivated Proxy Advisors.” ...more
12/19/2025
/ Department of Labor (DOL) ,
Diversity and Inclusion Standards (D&I) ,
Environmental Social & Governance (ESG) ,
Executive Orders ,
Federal Trade Commission (FTC) ,
Glass Lewis ,
Institutional Shareholder Services (ISS) ,
Investment Advisers Act of 1940 ,
Proxy Advisory Firms ,
Publicly-Traded Companies ,
Registered Investment Advisors ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Trump Administration
The SEC’s recent policy change on issuer-investor mandatory arbitration provisions has prompted quick reactions from proxy advisors and early adopters in the market—setting the stage for renewed debate over whether companies...more
12/12/2025
/ Articles of Incorporation ,
Bylaws ,
Corporate Governance ,
Delaware General Corporation Law ,
Disclosure Requirements ,
Glass Lewis ,
Initial Public Offering (IPO) ,
Institutional Shareholder Services (ISS) ,
Mandatory Arbitration Clauses ,
Proxy Advisors ,
Publicly-Traded Companies ,
Registration Statement ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
Glass Lewis has released its 2026 Benchmark Policy Guidelines, along with its 2026 Benchmark Policy Guidelines on Shareholder Proposals and ESG-related issues, introducing several notable changes ahead of the upcoming proxy...more
12/8/2025
/ Arbitration Agreements ,
Benchmarks ,
Board of Directors ,
Corporate Governance ,
Environmental Social & Governance (ESG) ,
Executive Compensation ,
Glass Lewis ,
Governance Standards ,
Mandatory Arbitration ,
Pay-for-Performance ,
Proxy Season ,
Shareholder Proposals ,
Shareholder Rights
On December 2, 2025, SEC Chairman Paul Atkins spoke at the New York Stock Exchange about the current state of U.S. capital markets, the challenges they face, and potential reforms to strengthen them. ...more
As we previously posted, on November 17, 2025, the SEC’s Division of Corporation Finance announced a significant change in how it will engage with shareholder proposal exclusions. Just two days later, on November 19, 2025,...more
In a Friday appearance on Fox Business, SEC Chairman Paul Atkins signaled that the Securities and Exchange Commission is increasingly focused on curbing the influence of proxy advisory firms. ...more
11/18/2025
/ C&DIs ,
Corporate Governance ,
Glass Lewis ,
Institutional Shareholder Services (ISS) ,
New Guidance ,
Proposed Rules ,
Proxy Advisory Firms ,
Rulemaking Process ,
Schedule 13D ,
Schedule 13G ,
Securities and Exchange Commission (SEC) ,
Shareholders ,
Trump Administration
The 2025 Proxy Disclosure & 22nd Annual Executive Compensation Conferences, presented by TheCorporateCounsel.net and CompensationStandards.com, were held October 21 – 22, 2025. The conferences brought together leading experts...more
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
On the first day of the 2025 Proxy Disclosure Conference & 22nd Annual Executive Compensation Conference in Las Vegas, Dave Lynn was a keynote speaker on two panels entitled “Former Corp Fin Staff on Corp Fin’s Agenda” and...more
10/22/2025
/ Corporate Governance ,
Disclosure Requirements ,
Executive Orders ,
Professional Conferences ,
Proxy Season ,
Publicly-Traded Companies ,
Regulatory Agenda ,
Regulatory Reform ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Shareholder Proposals
The SEC Division of Corporation Finance has updated its October 1, 2025 guidance regarding actions in advance of a potential government shutdown, with the revised version dated October 9, 2025. ...more
10/10/2025
/ Capital Markets ,
Disclosure Requirements ,
EDGAR ,
Enforcement Actions ,
Fees ,
Filing Requirements ,
Government Shutdown ,
Guidance Update ,
Regulatory Requirements ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC)