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...
Home 2021 (Page 4)
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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SEC Amendments To Rules Governing Proxy Advisory Firms
In a year of numerous regulatory amendments and proposals, Covid, newsworthy capital markets events, and endless related topics, and...
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OTCQX And OTCQB Rule Changes
In September 2021, the OTCQB and OTCQX tiers of OTC Markets instituted amendments to their rules, to, among other things, align with...
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SEC Announces It Will Not Enforce Amended Rules Governing Proxy Advisors
On June 1, 2021, SEC Chair Gary Gensler and the SEC Division of Corporation Finance issued statements making it clear that the SEC w...
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SEC Updates Filing Fees And Payment Methods
During the busiest capital markets boom most practitioners, including myself, have ever experienced, on October 13, 2021, in a whopp...
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SEC Modernizes Auditor Independence Rules
On October 16, 2020, the SEC adopted amendments to codify and modernize certain aspects of the auditor independence framework. The...
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SEC Rules Requiring Disclosures for Resource Extraction Companies
As required by the Dodd-Frank Act, in December 2020, the SEC adopted final rules requiring require resource extraction companies to...
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Annual Report of Office of Advocate for Small Business Capital Formation
The Office of the Advocate for Small Business Capital Formation (“Office”) issued its 2020 Annual Report and it breaks down one of t...
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SEC Re-Visits Executive Compensation Clawback Rules
As expected, on October 14, 2021, the SEC re-opened the comment period on proposed rules on listing standards for the recovery of er...
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