Securities Alert – ExxonMobil Breaks New Ground with Retail Voting Program Authorized by SEC
ExxonMobil has announced a new shareholder voting initiative aimed at increasing participation by retail investors in annual meetings.
Securities Alert — The Impact of Tariffs and Market Volatility on Risk Factors, MD&A, and Earnings Calls
The recent flurry of activity regarding tariffs and the resultant market volatility should have public companies reviewing and analyzing their risk factors and MD&A sections in the preparation of their upcoming 10-Q filings for the first quarter.
Business Alert – Upcoming Filing Requirements Under the Corporate Transparency Act That May Be Applicable to Public Companies
The CTA and its implementing regulations have created a number of new risks and responsibilities. We understand the difficulty in sorting through these new requirements, let alone complying with them. This Alert provides guidance for public companies.
Securities Alert – New Disclosure in Upcoming SEC Filings
The SEC has adopted a number of substantive new rules that will require new disclosures as soon as December 18, 2023 for material cybersecurity incidents on Form 8-K.
Securities Alert – The SEC Adopts Amendments to Beneficial Ownership Reporting
On October 10, 2023, the SEC adopted final rules governing beneficial ownership reporting under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934. These sections, along with Regulations 13D and 13G, require an investor who beneficially owns more than 5% of a covered class of equity securities to publicly file either a Schedule 13D (investors with control intent) or a Schedule 13G (investors without a control intent).
Securities Alert – SEC Approves Public Company Cybersecurity Disclosure Requirements
The rule, proposed in March 2022, includes requirements about current disclosure of material cybersecurity incidents, and periodic disclosures about a registrant’s processes to assess, identify, and manage material cybersecurity risks.
Securities Alert – The SEC Adopts New Buyback Disclosure Rules
Given the expected increase in scrutiny of issuer buybacks, we recommend that companies consider taking some or all of the actions noted in this Alert before the fourth quarter of this year.
Securities Alert – The SEC’s New Clawback Rules for Erroneously Awarded Compensation
What should companies be doing now?