Leland Benton on Publicly-Traded Companies

Reinforcing Ethics and Oversight in Corporate Governance: Essentials for Public Companies

In an environment where public scrutiny is high and enforcement expectations are rising, investing in strong corporate ethics and oversight frameworks has become a strategic necessity for public companies. Effective...more

8/14/2025 / Board of Directors , Corporate Governance , Form 8-K , Listing Rules , Publicly-Traded Companies , Regulation S-K , Risk Management , Securities and Exchange Commission (SEC) , Whistleblowers

Proxies, Pay, and the Brave New World of ESG

Environmental, social, and governance (ESG) matters are now the subject of significantly greater regulatory scrutiny and are becoming a more prominent part of public companies’ mandatory filings, shareholder proposals, and...more

2/6/2023 / Annual Meeting , Climate Change , Corporate Governance , Corporate Social Responsibility , Environmental Social & Governance (ESG) , Proxy Statements , Publicly-Traded Companies , Securities and Exchange Commission (SEC) , Shareholder Meetings , Shareholder Proposals

SEC Adopts Compensation Clawback Requirements

The US Securities and Exchange Commission (SEC) announced on October 26, 2022, that it has adopted new rules directing national securities exchanges, including the New York Stock Exchange and Nasdaq, to establish listing...more

11/1/2022 / Clawbacks , Dodd-Frank , Listing Standards , Nasdaq , New Rules , Publicly-Traded Companies , Securities and Exchange Commission (SEC)

US-China Auditing Oversight Agreement Signals Cooperation Between Nations but Could Lead to Increased Enforcement Risk

Due to a recent agreement between the Public Company Accounting Oversight Board and Chinese securities regulators, many US exchange–listed companies audited by accounting firms based in mainland China and Hong Kong may be...more

9/16/2022 / Capital Markets , China , Corporate Governance , Department of Justice (DOJ) , Foreign Corporations , PCAOB , Publicly-Traded Companies , Securities and Exchange Commission (SEC)

SEC Begins Identifying Public Companies under the Holding Foreign Companies Accountable Act

Per the Holding Foreign Companies Accountable Act, the US Securities and Exchange Commission has begun identifying public companies that retained audit firms that the Public Company Accounting Oversight Board has determined...more

4/1/2022 / Corporate Governance , PCAOB , Publicly-Traded Companies , Reporting Requirements , Sarbanes-Oxley , Securities and Exchange Commission (SEC) , XBRL Filing Requirements

SEC Approves NYSE Rules Allowing Companies to Raise Money in Registered Direct Offerings

The US Securities and Exchange Commission has approved New York Stock Exchange rule changes that will grant the exchange discretion to allow companies to raise money by selling common shares in registered direct offerings,...more

1/5/2021 / Capital Raising , Corporate Counsel , Direct Listing , Financial Markets , Initial Public Offering (IPO) , Nasdaq , NYSE , Publicly-Traded Companies , Securities and Exchange Commission (SEC) , Securities Regulation

COVID-19 Market Volatility: The NYSE Suspends Minimum Share Price and Market Capitalization Continued Listing Requirements

The New York Stock Exchange LLC (NYSE) has temporarily suspended its continued listing standards requiring (i) a market capitalization and stockholders’ equity of at least $50 million each, and (ii) a $1 minimum trading price...more

4/27/2020 / Capital Markets , Coronavirus/COVID-19 , Corporate Governance , Listing Standards , NYSE , Publicly-Traded Companies , Relief Measures

SEC Amends Definitions of Accelerated and Large Accelerated Filers

The US Securities and Exchange Commission announced that it voted on March 12 to adopt amendments to the definitions of “accelerated filer” and “large accelerated filer” in Rule 12b-2 of the Securities Exchange Act of 1934,...more

3/17/2020 / Accelerated Filers , Annual Reports , Publicly-Traded Companies , Securities and Exchange Commission (SEC) , Securities Regulation , Smaller Reporting Companies , Threshold Requirements

Leland Benton

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