SEC Proposes Amendments To Rule 10b5-1 Insider Trading Plans
As expected from the Spring 2021 Regulatory Agenda, on December 15, 2021, the SEC proposed amendments to Rule 10b5-1 under the Secur...
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SEC Issues Guidance On Spring-Loaded Compensation Awards
On November 29, 2021, the SEC issued accounting guidance on the recognition and disclosure of “spring-loaded awards” made to executi...
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Update On Nasdaq And NYSE Direct Listings
The rules related to direct listings continue to evolve as this method of going public continues to gain in popularity. The last ti...
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SEC Adopts The Use Of Universal Proxy Cards
On November 17, 2021, the SEC adopted final rules requiring parties in a contested election to use universal proxy cards that includ...
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Nasdaq Updated LAS Form
Effective September 17, 2021, Nasdaq updated its Listing of Additional Shares (LAS) Form and the process for the review of such form...
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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 Affirms PCAOB Rules Implementing The Holding Foreign Companies Accountable Act
On November 5, 2021, as part of the implementation of the Holding Foreign Companies Accountable Act (“HFCA”), the SEC approved PCAOB...
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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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Public Market Listing Standards
One of the bankers that I work with often once asked me if I had written a blog with a side-by-side comparison of listing on Nasdaq ...
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