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SEC Adopts Final Rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure

On July 26, 2023, the Securities and Exchange Commission (SEC) announced the adoption of final rules relating to cybersecurity risk management, strategy, governance, and incident disclosures. The new rules define a...more

SEC Adopts Amendments to Affirmative Defense to Insider Trading and Related Matters

On December 14, 2022, the Securities and Exchange Commission (SEC) adopted amendments to Rule 10b5-1 (Rule 10b5-1) under the Securities Exchange Act of 1934, as amended (Exchange Act) that provides an affirmative defense to...more

Court of Appeals Hears Oral Arguments in Case Challenging Nasdaq’s Board Diversity Rules

On August 29, 2022, the Fifth Circuit Court of Appeals heard oral arguments in a case against the Securities and Exchange Commission (SEC) seeking to invalidate Nasdaq’s board diversity rules which were initially proposed by...more

SEC Issues Proposed Rules For Enhancement and Standardization of Climate-Related Disclosures

On Monday, March 21, 2022, the Securities and Exchange Commission (SEC) held an open meeting to consider proposed amendments to Regulation S-K and Regulation S-X to “enhance and standardize registrant’s climate-related...more

SEC Proposes Amendments Impacting Beneficial Ownership Reporting

On February 10, 2022, in a 3-1 vote, the U.S. Securities and Exchange Commission (SEC) proposed amendments to Schedules 13D and 13G that govern beneficial ownership reporting. SEC Chair Gary Gensler issued a statement...more

Ceres Guidance for Engaging on Climate Risk Governance and Voting on Directors

Ceres, a nonprofit organization focused on solving climate and sustainability challenges through coordinated action by capital market leaders, recently issued its 2022 Guidance for Engaging on Climate Risk Governance and...more

SEC Approves Anticipated Nasdaq Board Diversity Rules

On August 6, 2021, the Securities and Exchange Commission (SEC) approved Nasdaq’s board diversity rules. The rules include “diversity objectives” that require Nasdaq-listed companies to either have or explain why they do not...more

SEC Continues to Signal its Commitment to ESG Disclosures and Reporting

While there has not been any new rule-making from the Securities and Exchange Commission (SEC) just yet, the agency has sent clear signals over the past six weeks to public companies and investors about its commitment to...more

Nasdaq Proposes New Rules Regarding Board Diversity for Listed Companies

On December 1, 2020, The Nasdaq Stock Market filed a proposal with the U.S. Securities and Exchange Commission (SEC) to adopt new listing rules that relate to diversity of board composition, proposed Rule 5605(f), and...more

SEC Adopts Amendments to MD&A and Other Financial Disclosures

On November 19, 2020, by a three-to-two vote, the Securities and Exchange Commission (SEC) voted to adopt amendments to Regulation S-K in an effort to modernize, simplify, and enhance certain financial disclosures. The SEC...more

SEC Adopts Amendments to Regulation S-K Items 101, 103, and 105

During an open meeting last week, the Securities and Exchange Commission (SEC) voted 3 to 2 to adopt amendments modernizing the description of business (Item 101), legal proceedings (Item 103), and risk factors (Item 105)...more

SEC Issues Final Rules Regarding Proxy Solicitations

On July 22, 2020, during an open meeting, the Securities and Exchange Commission (SEC) voted 3 to 1 to adopt amendments to the securities rules governing proxy solicitations. The amendments are designed to increase...more

SEC Releases Guidance Regarding COVID-19 Disclosure Considerations

On June 23, 2020, the Securities and Exchange Commission’s (SEC) Division of Corporation Finance (Division) issued guidance, CF Disclosure Guidance: Topic No. 9A, focused on disclosure considerations regarding operations,...more

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