Securities Regulation and Corporate Governance

Topic: Capital Markets

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

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

Supreme Court Upholds Tracing Requirement For Section 11 Claims in Direct Listings - Slack Technologies LLC v. Pirani, No. 21-200

6/6/2023 | Posted by Stewart McDowell; Ronald Mueller; Andrew Fabens; Hillary Holmes; Peter Wardle

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

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