SEC Chair Gary Gensler Testifies To Congress
On May 6, 2021, new SEC Chair Gary Gensler made his debut, giving testimony to the House Financial Services Committee. Although Mr....
Home 2021 (Page 3)
Nasdaq Board Diversity Proposal
Nasdaq has long been a proponent of environmental, social and governance (ESG) disclosures and initiatives, having published a guide...
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Finders – Part 2
Following the SEC’s proposed conditional exemption for finders (see HERE), the topic of finders has been front and center. New York...
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SEC Final Rule Changes For Exempt Offerings – Part 5
On November 2, 2020, the SEC adopted final rule changes to harmonize, simplify and improve the exempt offering framework. The new r...
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ESG Disclosures – A Continued Discussion
In a series of blogs, I have been discussing the barrage of environmental, social and governance (ESG) related activity and focus by...
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Public Market Listing Standards
One of the bankers that I work with often once asked me if I had written a blog with a side-by-side comparison of listing on Nasdaq ...
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SEC Adopts The Use Of Universal Proxy Cards
On November 17, 2021, the SEC adopted final rules requiring parties in a contested election to use universal proxy cards that includ...
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ESG Matters – What a Difference A Year Makes
What a difference a year makes – or should I say – what a difference an administration makes! Back in September 2019, when I first...
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SEC Re-Opens Comments On The Use Of Universal Proxy Cards
On April 16, 2021, the SEC voted to reopen the comment period on the proposed rules for the use of Universal proxy cards in all non-...
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ESG – Board of Directors and Auditor Matters
In a series of blogs, that is likely to be an ongoing topic for the foreseeable future, I have been discussing the barrage of enviro...
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