Hillel Goldstein

Herbert Smith Freehills Kramer

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NYSE Proposes Amendments to Its Related Party and 20% Shareholder Approval Rules

On Dec. 28, 2020, the New York Stock Exchange (NYSE) proposed amendments to its rules requiring shareholder approval prior to the issuance of securities to Related Parties or in excess of 20% of the issuer’s voting power or...more

1/20/2021 / 20% Rule , Listing Rules , NYSE , Publicly-Traded Companies , Regulatory Agenda , Related Parties , Securities Regulation , Shareholder Approval , Shareholder Protection Agreements

SEC Adopts Amendments to Shareholder Proposal Rule

On September 23, the Securities and Exchange Commission adopted amendments to the “shareholder proposal rule” set forth in Rule 14a-8 of the Securities Exchange Act of 1934, which governs the process for a shareholder to have...more

10/2/2020 / Corporate Governance , New Guidance , Proxy Season , Publicly-Traded Companies , Rule 14a-8 , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Regulation , Shareholder Proposals , Shareholders

SEC Division of Corporate Finance Issues Guidance Regarding Expiring Confidential Treatment Orders

On Sept. 9, the SEC’s Division of Corporate Finance (the Division) amended CF Disclosure Guidance: Topic No. 7 (Topic No. 7) and issued guidance regarding the options available to companies when a previously obtained...more

9/23/2020 / Confidential Information , Corporate Finance , Disclosure Requirements , New Guidance , Publicly-Traded Companies , Regulation S-K , Rule 24b-2 , Rule 406 , Securities and Exchange Commission (SEC) , Securities Regulation

SEC Adopts Amendments to Definitions of ‘Accredited Investor’ and ‘Qualified Institutional Buyer’

On Aug. 26, the Securities and Exchange Commission adopted amendments to the definitions of “accredited investor” and “qualified institutional buyer.” ...more

9/1/2020 / Accredited Investors , Financial Regulatory Reform , Investment , Qualified Institutional Buyers , Regulation D , Rule 144A , Rule 506 , Securities and Exchange Commission (SEC) , Securities Regulation

SEC Adopts Amendments to Description of Business, Legal Proceedings and Risk Factor Disclosures Under Regulation S-K

On Aug. 26, the Securities and Exchange Commission adopted amendments to the description of business (Item 101), legal proceedings (Item 103) and risk factor (Item 105) disclosure requirements under Regulation S-K. ...more

9/1/2020 / Corporate Governance , Disclosure Requirements , Financial Regulatory Reform , Publicly-Traded Companies , Regulation S-K , Securities and Exchange Commission (SEC) , Securities Regulation

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