Securities Regulation and Corporate Governance

Topic: Capital Markets

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

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

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 Proposes Rule Changes to Shorten the Security Settlement Cycle to T+1 by March 31, 2024

2/14/2022 | Posted by Alan Bannister; Boris Dolgonos; Andrew Fabens; Hillary Holmes; Peter Wardle

Topic: Capital Markets; Miscellaneous; Securities Regulation

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

Recent SEC Amendments Bring Changes to Filing Fee Disclosure and Payment Methods

10/19/2021 | Posted by Ronald Mueller; Andrew Fabens; Peter Wardle; James Moloney

Topic: Capital Markets; Disclosure; Securities Regulation; Registration Statements; Registered Securities Offerings; Miscellaneous; M&A; IPOs

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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