Caroline Samp

Foley Hoag LLP

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SEC Issues Concept Release Soliciting Public Comment on Foreign Private Issuer Definition

On June 4, 2025, the SEC issued a concept release soliciting public comment on the definition of “foreign private issuer” (FPI) under U.S. securities laws. The SEC has identified potential changes to the definition that could...more

6/16/2025 / Capital Markets , Disclosure Requirements , Foreign Private Issuers , Proposed Amendments , Publicly-Traded Companies , Regulatory Reform , Regulatory Requirements , Reporting Requirements , Securities and Exchange Commission (SEC) , Securities Regulation

Nasdaq and NYSE Target Excessive Reverse Stock Splits Used to Regain Compliance with Minimum Security Price Requirements

On October 7, 2024, the US Securities and Exchange Commission approved Nasdaq's proposed modification to Nasdaq Listing Rule 5810(c)(3)(A), which limits the ability of a company whose shares are trading under Nasdaq’s $1.00...more

10/28/2024 / Listing Rules , Nasdaq , New Rules , NYSE , Regulatory Requirements , Reverse Stock Splits , Stock Exchange

New Nasdaq Rule Requires Disclosure of Third Party Compensation of Directors and Nominees

Effective August 1, 2016, companies listed on Nasdaq are subject to a new rule requiring annual disclosure of the material terms of agreements or arrangements between directors or director nominees and third parties that...more

9/7/2016 / Board of Directors , Compensation Agreements , Disclosure Requirements , Exceptions , Executive Compensation , Independent Directors , Investors , Nasdaq , Publicly-Traded Companies , Transparency

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