Virtual Annual Meetings
As the Covid-19 pandemic continues to disrupt normal business operations and impede a third proxy/annual meeting season, the SEC has...
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Uncategorized
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Regulation By Enforcement
The SEC is well known for, and often criticized for, its practice of regulation by enforcement. In recent years the SEC has been mo...
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Nasdaq Board Independence Standards
Nasdaq Rule 5605 delineates the listing qualifications and requirements for a board of directors and committees, including the indep...
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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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Incorporation By Reference
During lulls in the very active rule changes and blog-worthy news coming from the SEC and related regulators, it is great to step ba...
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Nasdaq Rule Amendments 2020
In addition to the temporary rule changes and relief that Nasdaq has provided this year for companies affected by Covid-19 (see HERE...
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Terminating Section 15(d) Reporting; Determining Voluntary Reporting Status
A public company with a class of securities registered under Section 12 or which is subject to Section 15(d) of the Securities Excha...
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Updated Guidance On Confidential Treatment In SEC filings
In March 2019, the SEC adopted amendments to Regulation S-K as required by the Fixing America’s Surface Transportation Act (“FAST Ac...
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