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Searching Content by Laura Richman ordered by Published Date Descending.
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1
Market Trends 2018/19: Staff Legal Bulletins No. 14I And 14J On Shareholder Proposals
This market trends article discusses Staff Legal Bulletin No. 14I and Staff Legal Bulletin No. 14J of the Division of Corporation Finance of the Securities and Exchange Commission,
United States
11 Sep 2019
2
SEC Issues Guidance On The Application Of The Proxy Rules To Voting Advice
With the increased concentration of share ownership by institutional investors over the past several decades
United States
2 Sep 2019
3
Annual Review Of Federal Securities Regulation
The Annual Review of Federal Securities Regulation, prepared by the Subcommittee on Annual Review of the Committee on Federal Regulation of Securities of the ABA Business Law Section
United States
30 Aug 2019
4
SEC Increases Filing Fees For Fiscal Year 2020
The US Securities and Exchange Commission (SEC) has announced an increase in the filing fees to be paid by public companies and other issuers during the SEC's 2020 fiscal year.
United States
30 Aug 2019
5
Legal Update: SEC Issues Guidance On The Application Of The Proxy Rules To Voting Advice
With the increased concentration of share ownership by institutional investors over the past several decades, the influence of proxy advisory firms on shareholder votes has grown dramatically
United States
29 Aug 2019
6
SEC Proposes To Modernize Business, Legal Proceedings And Risk Factor Disclosures
On August 8, 2019, the US Securities and Exchange Commission proposed amendments to Regulation S-K that are intended to modernize business
United States
16 Aug 2019
7
SEC Issues Concept Release On Harmonization Of Securities Offering Exemptions
On June 18, 2019, the US Securities and Exchange Commission (SEC) issued a concept release1 soliciting "
United States
16 Jul 2019
8
SEC's Proposed Disclosure Improvements For Business Acquisitions And Dispositions
On May 3, 2019, the US Securities and Exchange Commission (SEC) proposed revisions to financial statement disclosures with respect to business acquisitions and dispositions required by Regulation S-X's Rule 3-05
United States
27 May 2019
9
Follow-Up On Regulation S-K Modernization And Simplification
As described in our Legal Update "SEC Adopts Rules to Modernize and Simplify Disclosure," dated March 27, 2019,1 the US Securities and Exchange Commission (SEC) ...
United States
16 Apr 2019
10
Mitigating The Impact Of A Material Weakness On The Election Of Directors
Where companies have disclosed repeated or ongoing material weaknesses in internal controls over financial reporting, or where a company's first material weakness requires a restatement
United States
10 Apr 2019
11
Legal Update: SEC Adopts Rules To Modernize And Simplify Disclosure
On March 20, 2019, the US Securities and Exchange Commission (SEC) adopted amendments intended to modernize and simplify certain disclosure requirements of Regulation S-K and related rules and forms.
United States
9 Apr 2019
12
Legal Update: Testing The Waters For All? Proposed New Rule Would Expand Accommodation To All Issuers
Since the Jumpstart Our Business Startups (JOBS) Act was enacted in 2012, emerging growth companies (EGCs) have benefited from the opportunity to test the waters with investors and gauge interest in a potential offering.
United States
1 Mar 2019
13
Testing The Waters For All? Proposed New Rule Would Expand Accommodation To All Issuers
Since the Jumpstart Our Business Startups (JOBS) Act was enacted in 2012, emerging growth companies (EGCs) have benefited from the opportunity to test the waters with investors ...
United States
1 Mar 2019
14
Disclosure Of Board Self-Identified Diversity Characteristics
On February 6, 2019, the staff of the US Securities and Exchange Commission (SEC) issued two identical Regulation S-K compliance and disclosure interpretations (C&DIs),
United States
15 Feb 2019
15
2019 SEC Filing Deadlines And Financial Statement Staleness Dates
In this Legal Update, we provide certain US Securities and Exchange Commission ("SEC") ...
United States
12 Feb 2019
16
SEC Is Serious About "Equal Prominence" Rule In Presentation Of Non-GAAP Financial Measures In Earnings Releases
The US Securities and Exchange Commission (SEC) recently gave a strong reminder of the importance of providing equal ...
United States
14 Jan 2019
17
Legal Update-10 Tips For 10-Ks And Proxy Statements
With preparations shifting into high gear for calendar-year companies that file annual reports on Form 10-K and proxy statements with the US Securities and Exchange Commission ...
United States
9 Jan 2019
18
SEC Adopts Dodd-Frank Hedging Disclosure Rule
On December 18, 2018, the US Securities and Exchange Commission (SEC) adopted a final rule requiring companies to disclose their hedging policies and practices for employees,
United States
4 Jan 2019
19
SEC Expands Regulation A Exemption To Exchange Act Reporting Companies
On December 19, 2018, the US Securities and Exchange Commission (the Commission) amended Rule 251 and Rule 257 of the Securities Act of 1933
United States
3 Jan 2019
20
Will The Earnings Release Be The New 10-Q?
As far back as 2015, the US Securities and Exchange Commission's (the Commission) Advisory Committee on Smaller and Emerging Companies considered ...
United States
28 Dec 2018
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