Securities Regulation and Corporate Governance

Topic: Financial Statements

SEC Exempts Rule 144A Debt Issuances From Rule 15c2-11 Information Requirements

11/2/2023 | Posted by Hillary Holmes; Thomas Kim; Andrew Fabens

Topic: Capital Markets; Financial Statements; Private Placements; 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

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 Updates Non-GAAP C&DIs

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

Topic: Disclosure; Financial Statements; Securities Regulation; Miscellaneous

Now Available: SEC Desktop Calendar for 2023

7/20/2022 | Posted by Hillary Holmes; Peter Wardle; Justine Robinson; Lori Zyskowski

Topic: Audit Committee; Capital Markets; Corporate Governance; Disclosure; Financial Statements; IPOs; Proxy Statements and Annual Meetings; Registered Securities Offerings; Registration Statements; Securities Regulation; Underwriters and Agents

Now Available: Considerations for Preparing Your 2021 Form 10-K

1/21/2022 | Posted by Andrew Fabens; Brian Lane; Elizabeth Ising; Hillary Holmes; James Moloney; Michael Titera; Thomas Kim; Ronald Mueller

Topic: Corporate Governance; Disclosure; Environmental/Climate Change; ESG; Capital Markets; Financial Statements; Human Capital Management; Proxy Statements and Annual Meetings; Securities Regulation

SEC Staff Issues Cautionary Guidance Related to Business Combinations with SPACs

4/6/2021 | Posted by Hillary Holmes; Peter Wardle; Gerald Spedale

Topic: Audit Committee; Capital Markets; Corporate Governance; Disclosure; Financial Statements; IPOs; M&A; Securities Regulation; Registration Statements; Private Placements

Now Available: Considerations for Preparing Your 2020 Form 10-K

2/4/2021 | Posted by Hillary Holmes; Elizabeth Ising; Thomas Kim; Brian Lane; James Moloney; Ronald Mueller; Michael Scanlon; Michael Titera

Topic: Audit Committee; Capital Markets; Disclosure; Financial Statements; Proxy Statements and Annual Meetings; Registration Statements; Securities Regulation

Summary Chart and Comparative Blackline Reflecting Recent Amendments to MD&A Requirements Now Available

12/11/2020 | Posted by Hillary Holmes; Lori Zyskowski; Michael Titera; Ronald Mueller; Andrew Fabens

Topic: Audit Committee; Disclosure; Financial Statements; Registration Statements

Desktop Calendar of SEC Deadlines for 2021 Now Available

11/23/2020 | Posted by Hillary Holmes; Peter Wardle

Topic: Audit Committee; Capital Markets; Financial Statements; IPOs; Registered Securities Offerings; Securities Regulation

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