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...
Home 2019 (Page 4)
SEC Adopts New Rule To Expand Testing The Waters For All Companies
The SEC has adopted final rules allowing all issuers to test the waters prior to the effectiveness of a registration statement in a...
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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 Investor Advisory Committee Meeting
On November 7, 2019, the SEC Investor Advisory Committee held a meeting on the topics of (i) whether investors use environ...
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Division of Enforcement 2019 Annual Report
As my firm does not practice in the enforcement arena, it is not an area I always write about, but this year I found a few trends th...
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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 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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