42 search results found

Securities Client Alert – Accredited Investor Definition Updated

The SEC adopted amendments to the definitions of “accredited investors” and “qualified institutional buyers” (QIBs) to more effectively identify institutional and individual investors that have the appropriate knowledge and expertise to participate in private offerings in the U.S.

Securities Client Alert – SEC Modifies Shareholder Proposal Requirements

The SEC modified Rule 14a-8 in Regulation S-K related to shareholder proposals. Read on for more information on the modifications.

Securities Client Alert – SEC Updates Disclosure of Business Legal Proceedings and Risk Factors

The SEC updated rules in Regulation S-K requiring business, legal proceedings, and risk factor disclosures that become effective 30 days after publication in the Federal Register. Read more on these updates.

Securities Client Alert – Proxy Voting Advice Amendments and Related Guidance to Investment Advisers

The SEC recently amended rules related to proxy voting advice and related guidance to investment advisers.

Securities Client Alert – SEC Adopts Changes to Financial Disclosures Regarding Acquisitions and Dispositions of Businesses

The has SEC adopted amendments to rules and forms designed to assist public companies in “making more meaningful determinations of whether a subsidiary or an acquired or disposed business is significant, and improve the financial disclosure requirements applicable to acquisitions and dispositions of businesses.”

Securities Client Alert – COVID-19 Disclosure Considerations for Upcoming Quarterly Reports

The SEC expects reporting companies to quantify the current and expected impacts of COVID-19. This Alert summarizes the guidance provided since Topic 9 was issued.

Securities Client Alert – SEC Does Not Extend Time to File Reports But Does Extend Other Temporary Relief

Among the actions recently taken by the SEC, it did not extend the time to file periodic reports that were due on or before July 1st.

Securities Client Alert – Fast & Furious: A Summary of Actions Affecting Issuers Related to the Coronavirus

In the last 45 days, the SEC has taken action in the following eight areas in an response to the lockdown caused by the coronavirus pandemic. This alert briefly summarizes those actions.

Securities Client Alert – Checklists for Virtual or Delayed Annual Meetings Due to the Coronavirus

The coronavirus has companies scrambling to determine whether to hold their Annual Meetings in-person as usual, switch to a virtual-only meeting that is broadcast online or postpone or adjourn the meeting to a later date as the shelter in place mandates continue. This Alert provides a checklist outlining the primary actions to be considered under such alternatives.

Securities Client Alert – SEC Ease Filing and Signature Requirements and-Provides Disclosure Guidance Due to Coronavirus

SEC Client Alert – SEC Proposes Revised Disclosure Rules for Resource Extraction Issuers

SEC Client Alert – SEC Treats Performance Metrics Much Like Non-GAAP Financial Measures

SEC Client Alert – SEC Proposes to Modernize MD&A and Financial Disclosures in Regulation S-K

SEC Client Alert – SEC Issues Guidance on International Intellectual Property and Technology Risks

Securities Client Alert: “Test the Waters” Now Available to All Issuers

Securities Client Alert: When Data Misuse Has Occurred, the Risk is No Longer “Hypothetical”

Securities Client Alert: Is It Time to Update Your Insider Trading Policy?

Securities Client Alert: SEC Limits Shareholder Proposals on Climate Change – What Energy Companies Need to Know

Securities Client Alert: More Disclosure Reductions From The SEC

Securities Client Alert: SEC Adopts Final Rules to Allow Exchange Act Reporting Companies to Use Regulation A