Securities Regulation and Corporate Governance

Topic: Proxy Statements and Annual Meetings

Preparing for a Potential Government Shutdown: Initial Impacts on SEC Operations

9/29/2023 | Posted by Hillary Holmes; James Moloney; Ronald Mueller

Topic: Capital Markets; Disclosure; IPOs; Registered Securities Offerings; Proxy Statements and Annual Meetings; Shareholder Proposals; Securities Regulation; Underwriters and Agents

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

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

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

SEC Division of Corporation Finance Issues Interpretations Addressed to SPACs’ Business Combinations

3/24/2022 | Posted by Gerald Spedale; James Moloney; Ronald Mueller

Topic: Disclosure; M&A; Proxy Statements and Annual Meetings; Securities Regulation; Miscellaneous

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 Proposes Rules on Insider Trading, Rule 10b5-1 and Share Repurchases

12/23/2021 | Posted by Ronald Mueller; Andrew Fabens; James Moloney; Lori Zyskowski; Thomas Kim; Brian Lane; Elizabeth Ising

Topic: Capital Markets; Corporate Governance; Disclosure; Securities Regulation; Proxy Statements and Annual Meetings

ISS Proposes and Opens Comment on Draft 2022 Voting Policy Updates

11/5/2021 | Posted by Ronald Mueller; Elizabeth Ising; Lori Zyskowski

Topic: Corporate Governance; Proxy Statements and Annual Meetings; ESG

Now Available: SEC Desktop Calendar for 2022

9/30/2021 | Posted by Hillary Holmes; Peter Wardle; Lori Zyskowski

Topic: Audit Committee; Capital Markets; Disclosure; IPOs; M&A; Proxy Statements and Annual Meetings; Registration Statements; Securities Regulation

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