The SEC’s amendments mandate electronic filing of Form 144 and certain other documents, providing investors with more immediate access to information.
Individuals who wish to sell restricted securities that will require...more
A new SEC rule requires, to the extent material to a company’s business as a whole, expanded human capital disclosures, but its disclosure requirements are very general and give companies the ability to “tell their own story”...more
11/13/2020
/ Compensation ,
Coronavirus/COVID-19 ,
Corporate Social Responsibility ,
Employee Retention ,
Employee Training ,
Environmental Social & Governance (ESG) ,
Hiring & Firing ,
Human Capital ,
Independent Contractors ,
Institutional Shareholder Services (ISS) ,
Lost Productivity ,
New Guidance ,
Securities and Exchange Commission (SEC) ,
Succession Planning ,
Workplace Safety
Companies will need to address these amendments when preparing their future SEC reports to reflect the SEC’s changes to certain long-standing disclosure requirements.
Items 101 (Description of Business), 103 (Legal...more
Private investments in public equity are likely to become more popular as investors and public companies utilize PIPEs to navigate market turbulence.
In the face of tremendous market uncertainty, PIPE transactions offer...more
4/29/2020
/ Board of Directors ,
CFIUS ,
Conversion ,
Dividends ,
Hart-Scott-Rodino Act ,
Investors ,
Liquidity ,
Nasdaq ,
NYSE ,
PIPEs ,
Publicly-Traded Companies ,
Shareholders ,
Stock Redemption
The SEC has provided conditional regulatory relief regarding filing deadlines and has issued guidance regarding annual meetings to assist public companies impacted by COVID-19. This alert addresses some of the most frequently...more
Amendments remedy duplicative, overlapping or outdated disclosure requirements with other requirements by the SEC, U.S. GAAP or changes in the overall information environment.
The amendments show recent SEC efforts to...more
A simplified Rule 5635(d) could facilitate capital formation by changing the definition of market value.
Nasdaq is proposing to update and simplify Listing Rule 5635(d) by changing the definition of market value and...more