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...
Home 2021 (Page 5)
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 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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SEC Report On Meme Stocks
On October 18, 2021, the SEC released a report on the meme stock craze that caused the securities of companies like GameStop Corp. t...
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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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SEC Spring 2021 Regulatory Agenda
The first version of the SEC’s semiannual regulatory agenda and plans for rulemaking under the current administration has been publi...
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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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Section 12(g) Registration
Unlike a Securities Act of 1933 (“Securities Act”) registration statement, a Securities Exchange Act of 1934 (“Exchange Act”) Sectio...
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SPAC Nasdaq Listing Standards
I’ve written quite a bit about SPAC’s recently, but the last time I wrote about SPAC Nasdaq listing requirements, or any attempted c...
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SPAC Transactions Continue Amid SEC Cautionary Statements
Since I wrote about the SPAC IPO boom in June 2020 (HERE), the trend has not waned. However, as soon as celebrities like Jay-Z, Sha...
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