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Securities Practice: 2022 in Review

USA - January 12 2023 Our lawyers provide innovative and practical counsel on a wide variety of capital raising and securities law compliance matters. We represent clients…

Christopher J. Cummings, David S. Huntington, Brian M. Janson, Luke Jennings, Christodoulos Kaoutzanis, John C. Kennedy, David A.P. Marshall, Frances F. Mi, Raphael M. Russo

Nasdaq Updates Board Diversity Deadlines

USA - December 23 2022 Nasdaq has amended the deadlines for its board diversity requirements, changing to a uniform December 31st cut-off in the applicable year of…

Christopher J. Cummings, David Curran, David S. Huntington, Christodoulos Kaoutzanis, John C. Kennedy, Frances F. Mi, Raphael M. Russo, Laura C. Turano

Mandatory Electronic Filing of Form 144

USA - December 7 2022 As of April 13, 2023, Form 144 will be required to be filed with the SEC via EDGAR. Form 144 may be filed electronically now, but other forms of…

Christopher J. Cummings, David S. Huntington, Brian M. Janson, Luke Jennings, Christodoulos Kaoutzanis, John C. Kennedy, Raphael M. Russo

SEC Finalizes Pay-for-Performance Rules

USA - August 29 2022 The SEC has finalized its pay-for-performance disclosure rules, largely as proposed (available here). These rules implement Section 14(i) of the…

Cindy Akard, Christopher J. Cummings, David S. Huntington, Brian M. Janson, John C. Kennedy, Jean M. McLoughlin, Raphael M. Russo, Lawrence I. Witdorchic

SEC Proposes to Narrow Exclusions under Rule 14a-8

USA - July 19 2022 On July 13, 2022, the SEC proposed amendments (available here) to Rule 14a-8, which would narrow the circumstances under which companies may exclude…

Christopher J. Cummings, David S. Huntington, Brian M. Janson, John C. Kennedy, Frances F. Mi, Raphael M. Russo