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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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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NYSE American Board Independence Standards
NYSE American Company Guide Rule 803 delineates the requirements independent directors and audit committees. NYSE American Company G...
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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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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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SEC Fall 2021 Regulatory Agenda
In mid-December, the SEC published its semiannual regulatory agenda and plans for rulemaking. The Unified Agenda of Regulatory and...
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SEC ReOpens Comment Period For Pay Versus Performance
On January 27, 2022, the SEC re-opened the comment period on proposed rules under the Dodd-Frank Act requiring disclosure of informa...
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SEC Proposes New Share Repurchase Disclosure Rules
On December 15, 2021, the SEC proposed amendments to Securities Exchange Act Rule 10b-18, which provides issuers and affiliates with...
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The SEC Has Adopted Final Amendments To Rule 15C2-11; Major Change For OTC Markets Companies
Despite an unusual abundance of comments and push-back, on September 16, 2020, one year after issuing proposed rules (see HERE)...
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An Introduction to Promissory Notes
A promissory note is a written promise by a person, persons or entity to pay a specific amount of money (called "principal") to anot...
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