Securities Regulation and Corporate Governance

Topic: Securities Regulation

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

EDGAR Next: SEC Proposes Changes to EDGAR Filer Access and Account Management Procedures

9/28/2023 | Posted by Michael Titera; James Moloney

Topic: Miscellaneous; Securities Regulation

Another Batch of SEC Staff Guidance on Rule 10b5-1 Amendments

8/29/2023 | Posted by Michael Titera; Thomas Kim; Julia Lapitskaya; Lori Zyskowski; Ronald Mueller

Topic: Disclosure; Executive Compensation; Securities Regulation

Summary of Public Company Cybersecurity Disclosure Rules

7/29/2023 | Posted by Ronald Mueller; Elizabeth Ising; Julia Lapitskaya; Lori Zyskowski

Topic: Audit Committee; Disclosure; Corporate Governance; Securities Regulation

Form 10-Q Updates and Reminders

7/17/2023 | Posted by Michael Titera; Ronald Mueller; Thomas Kim; Lori Zyskowski; Elizabeth Ising; James Moloney; Julia Lapitskaya; Aaron K. Briggs

Topic: Disclosure; Securities Regulation; Corporate Governance

New Vote Reporting Disclosures Required on Form N-PX – Vote Reports Now Extend to All 13F Filers – No Longer Limited to Registered Funds

7/10/2023 | Posted by James Moloney; Andrew Fabens

Topic: Capital Markets; Corporate Governance; Disclosure; Investment Act/Investment Advisors Act; Securities Regulation

Updated Summary of Director Education Opportunities Now Available

7/10/2023 | Posted by Hillary Holmes; Lori Zyskowski; Ronald Mueller; Elizabeth Ising

Topic: Audit Committee; Corporate Governance; ESG; IPOs; Securities Regulation; Shareholder Proposals

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

SEC Enforcement Action Highlights Importance of Non-GAAP Policies and Disclosure Controls and Procedures

4/17/2023 | Posted by Michael Titera; Andrew Fabens; Michael Scanlon; Thomas Kim; Ronald Mueller; Brian Lane

Topic: Securities Regulation; Disclosure; Financial Statements

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