Philip Dodd

Ballard Spahr LLP

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SEC Modernizes Shareholder Proposal Rule

The Securities and Exchange Commission announced that it adopted amendments to modernize Rule 14a-8—the shareholder proposal rule, which governs the process for a shareholder to have its proposal included in a public...more

9/30/2020 / Corporate Governance , Modernization , Proxy Season , Proxy Statements , Publicly-Traded Companies , Rule 14a-8 , Securities and Exchange Commission (SEC) , Shareholder Proposals

NYSE and NASDAQ Provide Temporary Listing Compliance Relief for Certain Listed Companies

In response to the COVID-19 pandemic, both the New York Stock Exchange (NYSE) and The Nasdaq Stock Market LLC (Nasdaq) have sought to provide temporary relief for certain listed companies on their respective exchanges....more

4/29/2020 / Coronavirus/COVID-19 , Corporate Governance , Listing Standards , Nasdaq , NYSE , Popular , Publicly-Traded Companies , Relief Measures

SEC Chairman and Division of Corporation Finance Director Release Public Statement on COVID-19 Impact Disclosure in Earnings...

On April 8, 2020, Jay Clayton, Chairman of the Securities and Exchange Commission (Commission), and William Hinman, Director of the Commission’s Division of Corporation Finance, released an unusual public statement addressing...more

4/16/2020 / Coronavirus/COVID-19 , Corporate Governance , Disclosure Requirements , Earnings Reports , Economic Downturn , Public Statements , Publicly-Traded Companies , Securities and Exchange Commission (SEC)

SEC Releases Two Additional C&DIs Related to Its COVID-19 Order Extending Certain Conditional Exemptions from Reporting and Proxy...

On April 6, 2020, the Securities and Exchange Commission (Commission) updated its Exchange Act Forms Compliance and Disclosure Interpretations (C&DIs) by answering two questions related to the Commission’s March 25, 2020,...more

4/11/2020 / C&DIs , Corporate Governance , Disclosure Requirements , Proxy Statements , Publicly-Traded Companies , Securities and Exchange Commission (SEC)

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