Client Alerts - GableGotwals

Securities Alert – NYSE Approves Amendments to Related Party Transaction Requirements

NYSE amends its related party transaction rule for the second time in less than 5 months.

Employment Alert – OSHA Issues New Guidance on Protecting At-Risk Employees from COVID-19

In response to the recent surge in COVID-19 cases across the country, OSHA released updated guidance on protecting workers from the virus.

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Securities Alert – NASDAQ Board Diversity Proposal Approved By the SEC

On August 6, 2021, the SEC approved Nasdaq’s board diversity proposal set forth in Rules 5605(f) and 5606 of the Nasdaq Listing Rules.

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Tax Client Alert – Internal Revenue Service Updates Qualified Retirement Plan Compliance Procedures

The IRS has issued important new guidance to update its Employee Plans Compliance Resolution System.

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Securities Client Alert – NYSE Approves Amendments to Related Party Transaction Requirements

The SEC approved amendments to the NYSE’s Listed Company Manual, revising the requirements for related party transactions in Section 314.00.

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Securities Alert – Rule Changes the SEC is Considering, Including Revisiting Recently Amended Rules

The SEC Chair has identified several areas of focus (10b5-1 plans, climate change, human capital management and cybersecurity risk governance among others), while also asking the SEC staff to revisit a number of recently amended rules (proxy voting advice, the integration framework for exempt offerings, the accredited investor definition and resource extraction rules).

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Securities Alert – New Securities Rules Take Effect to Improve Exempt Offerings

Amendments recently took effect to “address gaps and complexities in the exempt offering framework that impede access to capital for issuers and access to investment opportunities for investors.”

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