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Technical change by Broadridge may impact retail voting at upcoming annual meetings

Sheppard Mullin Richter & Hampton LLP
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USA
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January 11 2013

Most public companies use Broadridge for shareholder voting tasks related to their annual meetings. Due to a new interpretive position being taken by

NASDAQ listed-issuers subject to new rules relating to disclosure of non-compliance with listing standards

Sheppard Mullin Richter & Hampton LLP
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USA
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December 18 2012

Certain NASDAQ rules and interpretive material relating to the disclosure requirements surrounding a listed issuer’s non-compliance with the NASDAQ’s listing standards were amended effective December 3, 2012

Navigating the SEC's recent conflict minerals rules: threading the needle through complex controls and procedures and complying with new disclosure requirements

Sheppard Mullin Richter & Hampton LLP
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USA
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September 21 2012

On August 22, 2012, the SEC adopted its final rule related to conflict minerals required by Congress under the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”), which will require all public companies to implement complex new controls and procedural mechanisms, and in certain cases, conduct supply chain due diligence that could lead to new public disclosures

SEC adopts Dodd-Frank rules regarding conflict minerals and payments by resource extraction issuers and defers rules for implementation of JOBS Act elimination of ban on general solicitation until August 29

Sheppard Mullin Richter & Hampton LLP
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USA
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August 23 2012

On August 22, 2012, the SEC adopted disclosure rules required by Sections 1502 and 1504 of the Dodd-Frank Wall Street Reform and Consumer Protection Act related to conflict minerals and payments by issuers engaged in resource extraction

Update on timeline for SEC rulemaking to implement the JOBS Act and Dodd-Frank Act

Sheppard Mullin Richter & Hampton LLP
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USA
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July 25 2012

In recent weeks, the SEC has given notice of matters that SEC Commissioners will consider at an open meeting on August 22, 2012

Senate passes modified JOBS act - regulatory reform for small and emerging growth companies speeds closer to fruition

Sheppard Mullin Richter & Hampton LLP
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USA
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March 26 2012

On March 22, 2012, the Senate passed the Jumpstart Our Business Startups (JOBS) Act by a vote of 73-26

The march towards meaningful reform for small and emerging growth companies moves forward - House passes measures to open private capital raising and facilitate an on ramp of new IPOs

Sheppard Mullin Richter & Hampton LLP
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USA
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March 12 2012

Building on months of momentum in Congress, on March 8, 2012, the U.S. House of Representatives passed the Jumpstart Our Business Startups (JOBS) Act by a bi-partisan vote of 390-23

Public company control alert: NYSE acts to further limit broker votes on specified corporate governance proposals

Sheppard Mullin Richter & Hampton LLP
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USA
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January 27 2012

On January 25, 2012, the New York Stock Exchange issued an Information Memo to its member organizations stating that effective immediately, brokers may not vote on corporate governance proposals supported by company management without instructions from their clients. NYSE’s rules affect the voting of all shares held in “street name” by NYSE member organizations, regardless of whether the vote is for an issuer listed on the NYSE

Smaller reporting companies given additional time to comply with auditor attestation report on internal control over financial reporting

Sheppard Mullin Richter & Hampton LLP
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USA
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October 5 2009

On October 2, 2009, the U.S. Securities and Exchange Commission, or the SEC, delayed the requirement for small reporting companies to include in their annual reports an auditor attestation report on internal control over financial reporting