SEC Fall 2019 Regulatory Agenda
In late 2019, the SEC published its latest version of its semiannual regulatory agenda and plans for rulemaking with the U.S. Office...
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Examination of Rule 144 and Potential Interpretations
Corporate compliance, federal securities regulations and SEC reporting requirements are highly technical and always changing. Accord...
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Securities Attorneys Must Self-Regulate to Avoid Potential Insider Trading Pitfalls
Attorneys who accept stock as compensation from public companies need to be aware of a vigilant regarding their insider trading obli...
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Responsibilities of Independent Directors Increases in Response to Sarbanes Oxley
Serving as an independent director carries serious obligations and responsibilities. Following the passage of the Sarbanes Oxley...
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Disclosures Related To COVID-19 – SEC Updates
Last week the SEC Office of the Chief Accountant (OCA) made a public statement on the importance of high-quality financial repo...
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SEC Statements On Capital Markets Amid Covid-19
On June 25, 2020, SEC Chair Jay Clayton gave testimony before the Investor Protection, Entrepreneurship and Capital M...
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SEC Small Business Advocate Releases First Annual Report
The SEC’s Office of Small Business Advocate launched in January 2019 after being created by Congress pursuant to the Small Business...
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SEC Publishes FAQ On COVID-19 Effect On S-3 Registration Statements
The SEC has issued FAQ on Covid-19 issues, including the impact on S-3 shelf registration statements. The SEC issued 4 questio...
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Disclosures Related To Covid-19 – What Investors Want To Know
’ve written several times about the need for Covid-19 disclosures including public statements by Chair Clayton and William...
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