Following the adoption of final rules to require officers and directors of foreign private issuers to comply with Section 16(a) reporting, the US Securities and Exchange Commission has issued an exemptive order granting...more
The US Securities and Exchange Commission adopted final rules on February 27, 2026 to implement the Holding Foreign Insiders Accountable Act and conform its rules and forms within the statutory guidelines established by...more
3/4/2026
/ Compliance ,
Filing Requirements ,
Final Rules ,
Foreign Private Issuers ,
New Legislation ,
New Regulations ,
Regulatory Reform ,
Reporting Requirements ,
Rulemaking Process ,
Section 16 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934
On January 8, 2026, NYSE American LLC filed a proposed rule change with the SEC to amend the provisions of the NYSE American Company Guide governing initial listing standards. If approved, the amendments would represent a...more
1/22/2026
/ Capital Markets ,
Initial Public Offering (IPO) ,
Listing Rules ,
Nasdaq ,
NYSE ,
Proposed Rules ,
Publicly-Traded Companies ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Securities Regulation
Effective December 19, 2025, Nasdaq Rule IM-5101-3 introduces a risk-based framework permitting Nasdaq to deny initial listings based on perceived susceptibility to manipulation, including risks arising from third-party...more
1/14/2026
/ Financial Markets ,
Initial Public Offering (IPO) ,
Listing Rules ,
Market Manipulation ,
Nasdaq ,
Proposed Rules ,
Publicly-Traded Companies ,
Regulatory Requirements ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
The National Defense Authorization Act for the US federal government’s 2026 fiscal year was signed into law on December 18, 2025. While primarily an annual defense bill establishing the budget and expenditures of the US...more
12/26/2025
/ American Depository Receipts (ADRs) ,
Capital Markets ,
Compliance Dates ,
Disclosure Requirements ,
EDGAR ,
Filing Requirements ,
Foreign Private Issuers ,
Insider Trading ,
NDAA ,
New Legislation ,
Reporting Requirements ,
Section 16 ,
Securities Exchange Act of 1934 ,
Securities Regulation
The US Securities and Exchange Commission’s Division of Corporation Finance announced it will no longer express views on most no-action requests seeking exclusion of shareholder proposals under Rule 14a-8. The division will...more
In an environment where public scrutiny is high and enforcement expectations are rising, investing in strong corporate ethics and oversight frameworks has become a strategic necessity for public companies. Effective...more
On June 4, 2025, the US Securities and Exchange Commission published a concept release to solicit comments on whether and how the definition of “foreign private issuer” (FPI) should be changed. As a result of recent...more
The US Securities and Exchange Commission (SEC) will launch an updated version of its Electronic Data Gathering, Analysis, and Retrieval (EDGAR) Filer Management platform (EDGAR Next) on March 24, 2025. EDGAR Next is meant to...more
Environmental, social, and governance (ESG) matters are now the subject of significantly greater regulatory scrutiny and are becoming a more prominent part of public companies’ mandatory filings, shareholder proposals, and...more
The US Securities and Exchange Commission (SEC) announced on October 26, 2022, that it has adopted new rules directing national securities exchanges, including the New York Stock Exchange and Nasdaq, to establish listing...more
Due to a recent agreement between the Public Company Accounting Oversight Board and Chinese securities regulators, many US exchange–listed companies audited by accounting firms based in mainland China and Hong Kong may be...more
Per the Holding Foreign Companies Accountable Act, the US Securities and Exchange Commission has begun identifying public companies that retained audit firms that the Public Company Accounting Oversight Board has determined...more
The US Securities and Exchange Commission (SEC) has adopted amendments that allow for new payment methods for filing fees, including Automated Clearing House (ACH) payments and debit and credit card payments; revise most...more
The US Securities and Exchange Commission has approved New York Stock Exchange rule changes that will grant the exchange discretion to allow companies to raise money by selling common shares in registered direct offerings,...more
The New York Stock Exchange LLC (NYSE) has temporarily suspended its continued listing standards requiring (i) a market capitalization and stockholders’ equity of at least $50 million each, and (ii) a $1 minimum trading price...more
The US Securities and Exchange Commission announced on the morning of March 25 the extension of filing periods covered by previously enacted conditional reporting relief for certain public company filing obligations, and...more
The US Securities and Exchange Commission announced that it voted on March 12 to adopt amendments to the definitions of “accelerated filer” and “large accelerated filer” in Rule 12b-2 of the Securities Exchange Act of 1934,...more
The US Securities and Exchange Commission’s new Rule 701 and concept release may ease a new generation of companies’ ability to offer and issue equity-based compensation, and question the appropriateness and continued utility...more