Results 6 to 10 of 23

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 Fleming 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

ISS releases FAQs addressing COVID-related compensation actions

USA - November 2 2020 ISS recently published FAQ guidance addressing how it will approach COVID-related pay decisions under its pay-for-performance qualitative evaluation…

R. Randall Wang

SEC Puts SAFT Issuers On Notice (Again)

USA - October 9 2020 For the second time this year (see our previous reported here), a judge in the U.S. District Court for the Southern District of New York determined…

J. Ashley Ebersole