On November 2, 2022, the U.S. Securities and Exchange Commission (SEC) announced the adoption of amendments to Form N-PX and related rules to extend public company stockholder vote disclosure filing requirements beyond...more
5/21/2024
/ Debt Securities ,
Disclosure Requirements ,
Effective Date ,
ETFs ,
Form 13F ,
Golden Parachutes ,
Institutional Investors ,
Investment Companies ,
Investment Management ,
New Rules ,
Proxy Statements ,
Reporting Requirements ,
Required Forms ,
Say-on-Pay ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Stock Options ,
Warrants
The Staff of the Division of Corporation Finance at the Securities and Exchange Commission (SEC) has recently begun issuing comment letters in the life sciences reverse merger (RM) context that involve a broadened...more
1/22/2024
/ Capital Formation ,
Compliance ,
Form 8-K ,
Form S-1 ,
Life Sciences ,
Mergers ,
Publicly-Traded Companies ,
Recapitalization ,
Resales Agreements ,
Reverse Mergers ,
Rule 144 ,
SEC Comment Letter Process ,
Securities and Exchange Commission (SEC) ,
Shell Corporations
On October 10, 2023, the US Securities and Exchange Commission (the “SEC”) adopted rule amendments governing beneficial ownership reporting under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934 (the “Exchange...more
10/23/2023
/ Amended Rules ,
Beneficial Owner ,
Compliance ,
Compliance Dates ,
Corporate Governance ,
EDGAR ,
Publicly-Traded Companies ,
Reporting Requirements ,
Schedule 13D ,
Schedule 13G ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
On December 14, 2022, the Securities and Exchange Commission unanimously adopted final rules relating to Rule 10b5-1 plans. Properly structured, a Rule 10b5-1 plan provides an affirmative defense to Rule 10b-5 liability for...more
The director of the SEC’s Division of Enforcement, Andrew Ceresney, said that using quantitative analytics the SEC has identified various individuals and companies with especially high rates of filing deficiencies and...more