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Risky business: recording board meetings

USA - September 30 2021 With the Delta variant surge, many companies have delayed plans for a return to in-person board and committee meetings. The go-to alternative, in…

Eric Rieder, Victoria R. Westerhaus.

SEC shines spotlight on climate change in sample comment letter

USA - September 23 2021 As discussed in our March 4, 2021 and March 17, 2021 posts, Allison Herren Lee, then the Acting Chair of the SEC, previously issued a Public…

Lindsay P. Cross, Eliot W. Robinson, R. Randall Wang.

SEC Division of Enforcement No Longer Recommending Settlement Offers Contingent on Waivers

USA - February 12 2021 In a Statement released on February 11, 2021, Acting SEC Chair Allison Herren Lee announced that, in a return to the longstanding practice of the SEC…

Katherine Ashton.

SEC affirms NYSE rule changes allowing primary capital raises by issuers in direct listings

USA - December 23 2020 Yesterday, by another 3-2 vote, the SEC approved changes to NYSE listing rules relating to primary direct listings after conducting a “de novo”…

R. Randall Wang.

SEC Modernizes Framework for Exempt Offerings

USA - November 4 2020 In another 3-2 vote, on November 2, 2020 the SEC approved significant amendments to the framework for exempt offerings intended to harmonize and…

R. Randall Wang.