This newsletter discusses noteworthy updates, key regulatory decisions and upcoming compliance reminders. ...more
7/3/2019
/ Accelerated Filers ,
Audits ,
Comment Period ,
Constitutional Challenges ,
Contempt ,
Corporate Governance ,
Elon Musk ,
Enforcement Actions ,
Financial Reporting ,
Insider Trading ,
Internal Controls ,
Proposed Amendments ,
Regulation S-X ,
Securities and Exchange Commission (SEC) ,
Settlement ,
Social Networks ,
State Constitutions ,
Tesla ,
Unclaimed Property
The SEC published the final rules on March 20, 2019 to amend a wide variety of disclosure rules, primarily under Regulation S-K, in an effort to modernize and simplify disclosure requirements for public companies, investment...more
SEC Penalizes Company for Non-Compliance with Equal or Greater Prominence Requirement in Earnings Releases -
In late December, the SEC settled its first “equal or greater prominence” enforcement action under its non-GAAP...more
3/11/2019
/ #MeToo ,
Board of Directors ,
CD&A ,
Corporate Governance ,
Corporate Social Responsibility ,
Disclosure Requirements ,
EBITDA ,
Equal Employment Opportunity Commission (EEOC) ,
Equity Compensation ,
GAAP ,
Gender Equity ,
Hedging ,
Institutional Shareholder Services (ISS) ,
PCAOB ,
Proxy Season ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC)
This newsletter discusses noteworthy updates, key regulatory decisions and upcoming compliance reminders.
In this edition we review... ...more
8/28/2018
/ Corporate Governance ,
Disclosure Requirements ,
Enforcement Actions ,
Equity Compensation ,
Executive Compensation ,
Insider Trading ,
Popular ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC) ,
Share Buybacks ,
Smaller Reporting Companies
On August 17, 2018, the SEC adopted amendments to eliminate or modify certain disclosure requirements that have become redundant, overlapping, outdated or superseded in light of other SEC rules, GAAP or changes in the...more
Planning for the 2018 Proxy Season -
There are number of important considerations that public companies should be aware of as they begin preparing for the 2018 proxy season, including potential changes in law, pay ratio...more
11/22/2017
/ Annual Reports ,
Corporate Governance ,
Disclosure Requirements ,
Dodd-Frank ,
Financial CHOICE Act ,
Financial Statements ,
Fixing America’s Surface Transportation Act (FAST Act) ,
Foreign Earned Income ,
Insider Trading ,
Internal Reporting ,
Pay Ratio ,
Proxy Access ,
Proxy Season ,
Proxy Voting Guidelines ,
Publicly-Traded Companies ,
Regulation S-K ,
Rule 14a-8 ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Shareholder Proposals ,
US v Salman ,
Whistleblower Awards
On November 1, 2017, the staff of the Division of Corporation Finance issued Staff Legal Bulletin No. 14I (SLB 14I), providing guidance on the excludability of shareholder proposals under Exchange Act Rules 14a-8(i)(7)...more
The SEC issued a proposing release on October 11, 2017 to amend a wide variety of disclosure rules, primarily under Regulation S-K, in an effort to modernize and in some cases simplify disclosure requirements for public...more
Late Friday, April 7, the SEC issued two statements relating to the conflict minerals rule which reflect a significant change in the staff’s guidance for public companies.
The upshot of these statements is that the staff...more
On March 1, 2017, the SEC adopted final rules requiring companies to begin including hyperlinks to each document listed in exhibit indices to registration statements and reports filed with the Commission. The new requirement...more