Securities Regulation and Corporate Governance

Topic: Registered Securities Offerings

SEC Rolls Out Enforcement Sweep Against Delinquent Filers Ahead of Recent 13D/G Amendments

10/31/2023 | Posted by James Moloney; Brian Lane; Michael Titera

Topic: Corporate Governance; M&A; Registered Securities Offerings; Securities Regulation; Disclosure

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

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

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

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

Desktop Calendar of SEC Deadlines for 2021 Now Available

11/23/2020 | Posted by Hillary Holmes; Peter Wardle

Topic: Audit Committee; Capital Markets; Financial Statements; IPOs; Registered Securities Offerings; Securities Regulation

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