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In a first-of-its-kind case, the SEC focused on a company’s accounting controls around Rule 10b5-1 buybacks and imposed a $20 million fine. The novel theory in the case highlights the n...
On September 30, 2020, California Governor Gavin Newsom signed Assembly Bill 979, which will require each NYSE and Nasdaq-listed public company with its principal executive offices in Cal...
The SEC has shown its willingness to continue to take companies to task for not disclosing perquisites and personal benefits to executive officers in a manner that is consistent with the ...
Our 2020 IPO corporate governance survey reviews governance structures at the time of the IPO for the largest U.S.-listed IPOs of “controlled” and non-“controlled” companies betwe...
On September 23, 2020, the SEC adopted amendments to the shareholder proposal rule. Rule 14a-8 allows a shareholder that meets certain requirements to use a company’s proxy statement to...
In a game-changing development for the future viability of digital asset securities trading, staff of the Division of Trading and Markets of the SEC issued a No-Action Letter to FINRA on ...
On August 26, the SEC adopted amendments to update the business description, legal proceedings and risk factor disclosures that U.S. companies make in registration statements, annual repo...
On August 26, the Securities and Exchange Commission expanded the definitions of “accredited investor” in Regulation D and of “qualified institutional buyer” in Rule144A, thereby ...
The path to direct listings by companies is getting easier. On Wednesday, the SEC approved the NYSE’s rule change that will permit companies to raise capital in a direct listing. Prior ...
The SEC voted (3 to 1) on Wednesday to adopt final rules that would regulate proxy advisory firms and permit companies that are the subject of their voting recommendation reports to provi...
