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Securities Law Exchange Blog

Articles: 1-10 of 116

SEC Proposes Amendment to the Shareholder Proposals Rule (14a-8) and Adopts Amendments to Rules Impacting Proxy Advisory Firms

USA - July 21 2022 Last week, the Securities and Exchange Commission (SEC) voted 3-2 to take the following actions: Propose new amendments to Rule 14a-8, the…

SEC Announces Spring 2022 Rulemaking Agenda

USA - June 24 2022 On June 22, the Securities and Exchange Commission (SEC) released the latest edition of its Reg Flex Agenda, which is essentially the rulemaking…

It Happened! ESG Task Force’s First Enforcement Action

USA - May 24 2022 In March 2021, the Securities and Exchange Commission’s (SEC) then-acting chair, Allison Herren Lee, announced the creation of an Environmental…

SEC Staff Pushes Back on Adjusting for Normal Recurring “Public Company Expenses”

USA - May 11 2022 Along with equal prominence, probably one of the most often non-GAAP comments we see issued by the U.S. Securities and Exchange Commission (SEC)…

A Summary of Certain Proxy Advisory Firm and Institutional Investor Board Diversity Policies

USA - May 4 2022 Institutional investors and proxy advisory firms continue developing and refining their policies regarding board diversity. While gender diversity on…

The SEC’s Proposed Climate Change Rules Are Out: Making Sense of 500+ Pages

USA - March 27 2022 After months of anticipation, on March 21, 2022, the U.S. Securities and Exchange Commission (SEC) voted 3:1 to propose climate change-related…

SEC Proposes New Cybersecurity Disclosure Requirements

USA - March 10 2022 On March 9, the Securities and Exchange Commission (SEC) proposed rules and amendments to enhance and standardize public companies’ disclosures…

Key Takeaways from New Universal Proxy Rules Webinar

USA - February 28 2022 Late last year, the Securities and Exchange Commission (SEC) approved amendments to the federal proxy rules to, among other things, mandate the use…

The Not So Green-Friendly Practice of Greenwashing

USA - February 16 2022 As investors, advisers, corporations and other stakeholders become increasingly focused on environmental, social and governance (ESG) investments and…

Can a Director Serve as the Corporate Secretary and Remain Independent?

USA - January 21 2022 The rules of the New York Stock Exchange (NYSE) and the NASDAQ Stock Market (Nasdaq) require that a majority of a listed company’s Board of Directors…