Uncategorized SEC Proposes Rules Related To Securities Lending Market Laura Anthony, Esq.March 2, 2022 In November 2021, the SEC proposed new Exchange Act Rule 10c-1, which would require lenders of securities to provide the material te... 01.1K00
Uncategorized SEC ReOpens Comment Period For Pay Versus Performance Laura Anthony, Esq.February 23, 2022 On January 27, 2022, the SEC re-opened the comment period on proposed rules under the Dodd-Frank Act requiring disclosure of informa... 01.1K00
Uncategorized SEC Fall 2021 Regulatory Agenda Laura Anthony, Esq.February 15, 2022 In mid-December, the SEC published its semiannual regulatory agenda and plans for rulemaking. The Unified Agenda of Regulatory and... 01.2K00
Uncategorized SPAC Shareholder Litigation – First Fire Laura Anthony, Esq.February 10, 2022 On January 3, 2022, the Delaware Court of Chancery denied a motion to dismiss a shareholder lawsuit against a SPAC’s sponsor, its di... 01.1K00
Uncategorized SEC Proposes New Share Repurchase Disclosure Rules Laura Anthony, Esq.January 24, 2022 On December 15, 2021, the SEC proposed amendments to Securities Exchange Act Rule 10b-18, which provides issuers and affiliates with... 01.1K00
Uncategorized SEC Proposes Amendments To Rule 10b5-1 Insider Trading Plans Laura Anthony, Esq.January 17, 2022 As expected from the Spring 2021 Regulatory Agenda, on December 15, 2021, the SEC proposed amendments to Rule 10b5-1 under the Secur... 01.1K00
Uncategorized SEC Issues Guidance On Spring-Loaded Compensation Awards Laura Anthony, Esq.January 17, 2022 On November 29, 2021, the SEC issued accounting guidance on the recognition and disclosure of “spring-loaded awards” made to executi... 01.1K00
Uncategorized SEC Adopts The Use Of Universal Proxy Cards Laura Anthony, Esq.December 27, 2021 On November 17, 2021, the SEC adopted final rules requiring parties in a contested election to use universal proxy cards that includ... 038900
Uncategorized SEC Updates Filing Fees And Payment Methods Laura Anthony, Esq.December 10, 2021 During the busiest capital markets boom most practitioners, including myself, have ever experienced, on October 13, 2021, in a whopp... 030100
Uncategorized SEC Affirms PCAOB Rules Implementing The Holding Foreign Companies Accountable Act Laura Anthony, Esq.December 1, 2021 On November 5, 2021, as part of the implementation of the Holding Foreign Companies Accountable Act (“HFCA”), the SEC approved PCAOB... 043000