We previously blogged here about the proposed Securities and Exchange Commission (SEC) amendments to Rule 10b5-1 trading plans. As the amendments have now been unanimously adopted, below are some answers to frequently asked...more
As proxy preparation season approaches, the SEC’s new pay versus performance (PVP) disclosure rules will present new and unique challenges for many public companies...more
One thing I appreciate about the SEC comment letter process is that it gives real life examples to what is often discussed hypothetically. Take, for example, cybersecurity and steps management should take when a data incident...more
2/19/2020
/ Corporate Counsel ,
Cyber Incident Reporting ,
Data Breach ,
Data Breach Plans ,
Disclosure Requirements ,
Form 10-K ,
Form 8-K ,
Incident Response Plans ,
Publicly-Traded Companies ,
SEC Comment Letter Process ,
Securities and Exchange Commission (SEC)
The American Law Institute (ALI) approved a new project last month – Restatement of the Law, Corporate Governance. Over 25 years ago, the ALI approved and published the Principles of Law, Corporate Governance and this new...more
Generally speaking, the federal securities laws were drafted with the purpose of limiting the kind and amount of pre-offering publicity permitted in registered public offerings. Pursuant to Section 5(c) of the Securities Act...more
12/11/2018
/ Confidential Information ,
Corporate Counsel ,
Emerging Growth Companies ,
General Solicitation ,
Gun-Jumping ,
Initial Public Offering (IPO) ,
Investors ,
Press Releases ,
Printed Publications ,
Public Offerings ,
Registration Statement ,
Regulation D ,
Rule 506(c) ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Shareholders