SEC Issues Guidance On Proxy Advisory Firms
On August 29, 2019, the SEC issued anticipated guidance related to the application of the proxy rules to proxy advisory firms. ...
Home 2019 (Page 3)
SEC Proposed Amendments To Rule Governing Proxy Advisory Firms
As anticipated on November 5, 2019, the SEC issued two highly controversial rule proposals. The first is to amend Exchange Act...
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SEC Proposes Amendments To 15c2-11
As anticipated, on September 26, 2019, the SEC published proposed amendments to Securities Exchange Act (“Exchange Act”)&n...
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SEC Proposes Amendments to Accelerated and Large Accelerated Filer Definitions
As promised by SEC Chair Jay Clayton almost a year ago when the SEC amended the definition of a “smaller reporting company” as conta...
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SEC Proposes Expanding Testing The Waters For All Companies
As anticipated, on February 19, 2019 the SEC voted to propose an expansion of the ability to “test the waters” prior to the effectiv...
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SEC Proposes To Tighten Shareholder Proposal Thresholds
As anticipated on November 5, 2019, the SEC issued two highly controversial rule proposals. The first is to amend&nb...
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SEC Rules For Disclosure Of Hedging Policies
In December 2018, the SEC approved final rules to require companies to disclose practices or policies regarding the ability of emplo...
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SEC Solicits Comment On Earnings Releases And Quarterly Reports
On December 18, 2018, the SEC published a request for comment soliciting input on the nature, content, and timing of earnings releas...
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SEC Solicits Input To Improve Markets For Thinly Traded Securities
On October 17, 2019, the SEC made a statement inviting stock exchanges and market participants to submit “innovative propo...
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SEC Testifies At House Financial Services Committee Hearing
On September 24, 2019, all five SEC commissioners gave testimony to, and were questioned by, members of the U.S. House of Representa...
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