The first quarter of 2017 saw quite a few new developments in the Capital Markets & Public Companies regulatory landscape. President Trump’s nominee to be the new Chair of the Securities and Exchange Commission (SEC), Jay...more
4/20/2017
/ Broker-Dealer ,
Capital Markets ,
Emerging Growth Companies ,
Final Rules ,
Foreign Private Issuers ,
Hyperlink ,
IFRS ,
Rule 15c6-1(a) ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Settlement Cycles ,
Securities Transactions ,
XBRL Filing Requirements
As 2016 drew to an end, the US Securities and Exchange Commission (SEC) kept up its pace to close out a busy year. In addition to issuing proposed rules for universal proxies, the SEC released several new Compliance &...more
1/30/2017
/ Bylaws ,
C&DIs ,
Director Compensation ,
Equity Plan Scorecard (EPSC) ,
Equity Plans ,
Glass Lewis ,
Institutional Shareholder Services (ISS) ,
Non-GAAP Financial Measures ,
Overboarding ,
Pay Equity Laws ,
Proxy Access Rule ,
Proxy Voting Guidelines ,
Rule 147 ,
Rule 147A ,
Rule 504 ,
Securities and Exchange Commission (SEC) ,
Shareholders ,
Tax Deductions
The third quarter of 2016 saw the US Securities and Exchange Commission (SEC) carry forward its momentum from an active second quarter. Recent developments include new SEC Compliance & Disclosure Interpretations (C&DI) and...more
10/13/2016
/ 401k ,
C&DIs ,
Capital Markets ,
Filing Requirements ,
FinTech ,
Hyperlink ,
Innovation ,
No-Action Relief ,
Proposed Rules ,
Proxy Access ,
Regulation S-K ,
SEC Comment Letter Process ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Tandy Letter
In Depth -
New SEC C&DIs Regarding Non-GAAP Financial Measures -
On May 17, 2016, the SEC issued several new Compliance & Disclosure Interpretations (C&DIs) and modified existing C&DIs to provide additional...more
7/13/2016
/ C&DIs ,
Fixing America’s Surface Transportation Act (FAST Act) ,
Form 10-K ,
GAAP ,
JOBS Act ,
Non-GAAP Financial Measures ,
Regulation S-K ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Smaller Reporting Companies ,
XBRL Filing Requirements
In Depth -
On June 27, 2016, the Securities and Exchange Commission (SEC) proposed amendments to its rules and regulations that would expand the number of companies that qualify as “smaller reporting companies” by...more
In Depth -
On May 17, 2016, the Securities and Exchange Commission issued six new Compliance & Disclosure Interpretations (C&DIs) and modified other existing C&DIs to provide additional guidance on the use of non-GAAP...more
In Depth -
On May 16, 2016, the final rules adopted by the Securities and Exchange Commission (SEC) with respect to Title III of the Jumpstart Our Business Startups Act (JOBS Act) took effect (except for certain forms...more
During the first quarter of 2016, the Securities and Exchange Commission (SEC) and U.S. stock exchanges issued proposed and final rules that will likely impact disclosure and capital raising efforts. This report provides a...more
As we roll into a new year and a new public company reporting season, public companies should be aware of a number of rule changes and rulemakings, Securities and Exchange Commission (SEC) staff guidance, disclosure trends...more
2/1/2016
/ Corporate Governance ,
Cybersecurity ,
Disclosure Requirements ,
Dodd-Frank ,
Executive Compensation ,
Iran Threat Reduction and Syria Human Rights Act ,
Proxy Access ,
Proxy Season ,
Securities and Exchange Commission (SEC) ,
Shareholder Proposals ,
Young Lawyers
Summary of Key ISS and Glass Lewis 2016 Proxy Season Policy Updates -
Institutional Shareholder Services Inc. (ISS) recently issued, in the form of Frequently Asked Questions, a further update to its 2016 proxy voting...more
A number of public companies have become the target of shareholder books and records inspection demands and litigation related to certain “change of control” provisions in their loan agreements. The type of provisions at...more
On July 10, 2013, the U.S. Securities and Exchange Commission (SEC) approved changes to Rule 506 of Regulation D under the Securities Act of 1933 to implement the elimination, mandated by the Jumpstart Our Business Startups...more