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...
Home Archive by Category "SEC" (Page 9)
ABA Comment Letter On Disclosures Under Regulation S-K
In December 2017, the American Bar Association (“ABA”) submitted its fourth comment letter to the SEC related to the financial and b...
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The SEC Has Issued A Whitepaper On Title III Crowdfunding
On February 28, 2017, the SEC released a white paper on Regulation Crowdfunding, which law went into effect on May 16, 2016. Regulat...
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SEC Adopts Inline XBRL
On June 28, 2018, the SEC adopted amendments to the XBRL requirements to require the use of Inline XBRL for financial statement info...
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NASDAQ Requires Disclosure Of Third-Party Director Compensation
On July 1, 2016, the SEC approved NASDAQ’s new rule requiring listed companies to publicly disclose compensation or other payments b...
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Regulation A+ Now Available For Publicly Reporting Companies
On December 19, 2018, the SEC adopted final rules allowing reporting companies to Rely on Regulation A to conduct securities offerin...
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Financial Choice Act 2.0 Has Made Progress
On June 8, 2017, the U.S. House of Representative passed the Financial Creating Hope and Opportunity for Investors, Consumers and En...
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SEC Issues Report On Regulation S-K
As required by Section 72003 of the Fixing America’s Surface Transportation Act (the “FAST Act”), on November 23, 2016, the SEC issu...
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The SEC’s 2017 Enforcement Priorities And Results
No more broken windows! In a series of speeches by various top brass at the SEC followed by the publication of the SEC Enforcement...
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