Uncategorized SEC Proposed Amendments To Rule Governing Proxy Advisory Firms Laura Anthony, Esq.December 10, 2019 December 10, 2019 As anticipated on November 5, 2019, the SEC issued two highly controversial rule proposals. The first is to amend Exchange Act... 021700
Uncategorized SEC Proposes To Tighten Shareholder Proposal Thresholds Laura Anthony, Esq.November 26, 2019 November 26, 2019 As anticipated on November 5, 2019, the SEC issued two highly controversial rule proposals. The first is to amend&nb... 021700
Uncategorized SEC Investor Advisory Committee Meeting Laura Anthony, Esq.November 19, 2019 November 19, 2019 On November 7, 2019, the SEC Investor Advisory Committee held a meeting on the topics of (i) whether investors use environ... 023200
Uncategorized SEC Solicits Input To Improve Markets For Thinly Traded Securities Laura Anthony, Esq.November 12, 2019 November 12, 2019 On October 17, 2019, the SEC made a statement inviting stock exchanges and market participants to submit “innovative propo... 022900
Uncategorized SEC Testifies At House Financial Services Committee Hearing Laura Anthony, Esq.October 22, 2019 October 22, 2019 On September 24, 2019, all five SEC commissioners gave testimony to, and were questioned by, members of the U.S. House of Representa... 021300
Uncategorized SEC Adopts New Rule To Expand Testing The Waters For All Companies Laura Anthony, Esq.October 15, 2019 October 15, 2019 The SEC has adopted final rules allowing all issuers to test the waters prior to the effectiveness of a registration statement in a... 019700
Uncategorized SEC Proposes Amendments To 15c2-11 Laura Anthony, Esq.October 8, 2019 October 8, 2019 As anticipated, on September 26, 2019, the SEC published proposed amendments to Securities Exchange Act (“Exchange Act”)&n... 021300
Uncategorized SEC Issues Guidance On Proxy Advisory Firms Laura Anthony, Esq.September 17, 2019 September 17, 2019 On August 29, 2019, the SEC issued anticipated guidance related to the application of the proxy rules to proxy advisory firms. ... 027100
Uncategorized SEC Proposes Amendments to Accelerated and Large Accelerated Filer Definitions Laura Anthony, Esq.May 21, 2019 May 21, 2019 As promised by SEC Chair Jay Clayton almost a year ago when the SEC amended the definition of a “smaller reporting company” as conta... 020400
SEC SEC Establishes Analysis Matrix for Digital Assets Laura Anthony, Esq.April 16, 2019 April 16, 2019 On April 3, 2019, the SEC’s Division of Corporation Finance published a “Framework for Investment Contract Analysis of Digital Asset... 042800