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First-Ever Prosecution for Sales Under Rule 10b5-1 Trading Plan

Executive Sentenced to 42 Months in Prison - Company insiders rely upon Rule 10b5-1 trading plans to sell stock pursuant to predetermined trades, allowing them to later trade securities even though they may be in...more

SEC Approves Changes to NYSE and Nasdaq Minimum Price Rules: What Public Companies Need to Know

In January 2025, the Securities and Exchange Commission (the Commission) approved amendments to the minimum bid price compliance rules for companies listed on the New York Stock Exchange (NYSE) and the Nasdaq Stock Market...more

Navigating the SEC Climate Disclosure Rules: What You Need to Know

In a monumental move yesterday, the Securities and Exchange Commission (the "Commission") continued its commitment to environmental transparency by adopting new climate disclosure rules. These rules, as discussed in the...more

Staff Guidance For Conducting Annual Meetings In Light Of COVID-19 Concerns

In connection with the spread of the coronavirus disease 2019 (COVID-19) and the impact on health, transportation and other logistical issues, the staff of the Division of Corporation Finance and the Division of Investment...more

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