Securities Regulation and Corporate Governance

Topic: Securities Regulation

NYSE and Nasdaq Allow More Time for Companies to Adopt Rule 10D-1 Clawback Policies: What to Do Now

6/8/2023 | Posted by Ronald Mueller

Topic: Compensation Committee; Corporate Governance; Dodd Frank; Executive Compensation; Financial Statements; Proxy Statements and Annual Meetings; Securities Regulation

New SEC Staff Guidance on Rule 10b5-1 Amendments and Summary of Compliance Dates

5/30/2023 | Posted by Ronald Mueller

Topic: Disclosure; Executive Compensation; Proxy Statements and Annual Meetings; Securities Regulation

SEC Enforcement Action Highlights Importance of Non-GAAP Policies and Disclosure Controls and Procedures

4/17/2023 | Posted by Michael Titera; Andrew Fabens; Michael Scanlon; Thomas Kim; Ronald Mueller; Brian Lane

Topic: Securities Regulation; Disclosure; Financial Statements

SEC Publishes C&DIs Addressing Tender Offer Issues

3/17/2023 | Posted by Andrew Fabens; James Moloney

Topic: Securities Regulation; M&A; Disclosure

SEC Adopts New Final Rules for Clearance and Settlement; Proposes Changes for Investment Adviser Rules

2/22/2023 | Posted by Hillary Holmes; Peter Wardle

Topic: Capital Markets; Registered Securities Offerings; Securities Regulation; Private Placements

SEC Updates Non-GAAP C&DIs

12/14/2022 | Posted by Andrew Fabens; Ronald Mueller; Michael Titera

Topic: Disclosure; Financial Statements; Securities Regulation; Miscellaneous

EDGAR Ready to Accept Online Form 144 Filings Ahead of Deadline for Electronic Filing Requirement

10/11/2022 | Posted by Hillary Holmes; James Moloney

Topic: Capital Markets; Securities Regulation

SEC Raises Annual Gross Revenue Amount in the Definition of Emerging Growth Company

9/20/2022 | Posted by Hillary Holmes; James Moloney

Topic: Capital Markets; Securities Regulation

Division of Corporation Finance Issues Interpretive Guidance on the SEC’s Universal Proxy Rules

8/29/2022 | Posted by James Moloney; Ronald Mueller; Michael Titera

Topic: Corporate Governance; Proxy Statements and Annual Meetings; Securities Regulation; Proxy Access; Shareholder Proposals

Update on Changes in SEC Commissioners

7/21/2022 | Posted by Hillary Holmes; Thomas Kim; Ronald Mueller; James Moloney

Topic: Audit Committee; Capital Markets; Securities Regulation

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