Securities Regulation and Corporate Governance

Topic: Securities Regulation

SEC Publishes C&DIs Addressing Tender Offer Issues

3/17/2023 | Posted by Andrew Fabens; James Moloney

Topic: Securities Regulation; M&A; Disclosure

SEC Adopts New Final Rules for Clearance and Settlement; Proposes Changes for Investment Adviser Rules

2/22/2023 | Posted by Hillary Holmes; Peter Wardle

Topic: Capital Markets; Registered Securities Offerings; Securities Regulation; Private Placements

SEC Updates Non-GAAP C&DIs

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

Topic: Disclosure; Financial Statements; Securities Regulation; Miscellaneous

EDGAR Ready to Accept Online Form 144 Filings Ahead of Deadline for Electronic Filing Requirement

10/11/2022 | Posted by Hillary Holmes; James Moloney

Topic: Capital Markets; Securities Regulation

SEC Raises Annual Gross Revenue Amount in the Definition of Emerging Growth Company

9/20/2022 | Posted by Hillary Holmes; James Moloney

Topic: Capital Markets; 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

Update on Changes in SEC Commissioners

7/21/2022 | Posted by Hillary Holmes; Thomas Kim; Ronald Mueller; James Moloney

Topic: Audit Committee; Capital Markets; Securities Regulation

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

Long-Awaited SEC Rule Proposal on Climate Change Disclosure

3/22/2022 | Posted by Aaron K. Briggs; Thomas Kim; Ronald Mueller

Topic: Corporate Governance; Disclosure; Environmental/Climate Change; ESG; Securities Regulation

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