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SEC Proposes Rule Changes Intended To Streamline Disclosures Of Business Operations, Risk Factors And Legal Proceedings
The SEC recently proposed revisions to Regulation S-K to streamline public companies' disclosures of their business operations, risk factors and legal proceedings.
United States
19 Aug 2019
SEC Staff Issues Additional Guidance On Exhibit Redactions
The SEC staff has issued supplemental guidance regarding its new rules for the redaction of confidential information from certain exhibits, which take effect today.
United States
15 Apr 2019
SEC Continues Its Disclosure Simplification Initiative
A few changes will require modest additional disclosures.
United States
11 Apr 2019
Protect Your Rule 10b5-1 Plans From Attack: Best Practices
A single annual plan is stronger than four quarterly plans.
United States
18 Feb 2019
Public Offerings May Continue, Despite SEC Shutdown
The SEC's Division of Corporation Finance has posted helpful FAQs about the impact of the government shutdown on registration statements for public offerings
United States
21 Jan 2019
Victim Of Cyber-Theft? Maybe You Violated The Exchange Act, Too
The SEC recently reminded public companies that they have an affirmative obligation to prevent cyber-theft and that failing to do so could mean that their internal controls are ineffective
United States
24 Oct 2018
SEC Staff Clarifies Cross-Border Exemptions
Last week, the SEC staff published new compliance and disclosure interpretations clarifying some of the inner workings of exemptions for certain cross-border business combinations,
United States
24 Oct 2018
Is Your Director Compensation Program Vulnerable To Attack?
A recent case offers a fresh reminder that directors must satisfy their fiduciary obligations when setting their own compensation.
United States
2 Oct 2018
SEC Staff Clarifies New Form 10-Q Requirement
Yesterday the SEC staff issued CD&I 105.09 ...
United States
1 Oct 2018
Related-Party Transaction Disclosures Aren't Always Obvious
Related-party transactions are often easy to spot: the company is on one side of a contract, and a director or officer, or a company they control, is on the other side.
United States
14 Sep 2018
The SEC Amends Rules To Simplify Some Disclosures
On August 17, the SEC adopted amendments to its rules and regulations to simplify public company disclosures by eliminating duplicative, outdated or overlapping requirements.
United States
31 Aug 2018
Many New Smaller Reporting Companies Eligible For Disclosure Relief In Their Next Form 10-Q
Smaller reporting companies enjoy more extensive relief in their annual reports on Form 10-K and annual proxy statements.
United States
30 Aug 2018
Wearing Two Hats: Elon Musk As A Case Study
Much has already been written about Elon Musk's famous tweet offering to take Tesla private. Most of the coverage has focused on whether he violated Regulation FD's prohibition on selective disclosure ...
United States
30 Aug 2018
SEC Enforcement Action Targets Unsupported Financial Projections
On August 7, 2018, the SEC brought a settled cease-and-desist proceeding against Ribbon Communications Inc., the successor to Sonus Networks, Inc. ...
United States
22 Aug 2018
Most Executives Are Probably Underpaid
Every day it seems there is another outcry over excessive executive compensation at public companies.
United States
13 Jun 2018
What's Really So Different About Spotify's Going Public?
Spotify made a big splash with its novel approach to "going public."
United States
3 May 2018
SEC Staff Expands Non-GAAP Relief for Business Combinations
This week the SEC staff expanded relief for the disclosure of non-GAAP financial forecasts used in business combinations.
United States
11 Apr 2018
Join Us At NewCo Boston!
We are hosting a session at NewCo Boston entitled "Planning for Exit. Top 5 Pitfalls." It's never too soon to plan for your company's exit.
United States
11 Apr 2018
Regulators Increase Scrutiny Of ICO Advertising
Although the SEC has been focusing substantial enforcement attention on companies that are conducting illegal coin or token offerings, it has not stopped there.
United States
22 Mar 2018
Pre-IPO Companies Can Have Disclosure Obligations, Too
A recent SEC enforcement action should serve as a potent reminder to pre-IPO and other private companies that SEC rules sometimes impose affirmative disclosure obligations on private companies...
United States
21 Mar 2018
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