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Dodd-Frank Blog

Articles: 1-10 of 600

Form for an Officer/Director to Attest to an Electronic Signature on an SEC Filing

USA - November 21 2020 The SEC has adopted final rules regarding electronic signatures with respect to Regulation S-T Rule 302…

SEC Amends Rules for MD&A and other Financial Disclosures

USA - November 20 2020 The SEC adopted amendments intended to modernize, simplify and enhance certain financial disclosure requirements in Regulation S-K, including rules…

SEC Commissioners Explain Dissent from Enforcement Action Related to 10b5-1 Plan

USA - November 13 2020 We previously discussed an SEC Enforcement action against Andeavor LLC for controls violations relating to a stock buyback plan it implemented while…

SEC Harmonizes and Improves Exempt Offering Framework

USA - November 3 2020 The SEC adopted final rules which the SEC believes harmonizes, simplifies, and improves the complex exempt offering framework. The amendments…

PCAOB Issues Report on Initial Impact of CAM Requirements

USA - October 29 2020 The PCAOB released an interim analysis report and two accompanying white papers providing the PCAOB’s perspective on the initial impact of critical…

SEC Charges Company for Implementing Stock Buyback Plan Before Acquisition Negotiations Resumed

USA - October 16 2020 The SEC announced settled charges against Andeavor LLC for controls violations relating to a stock buyback plan it implemented while it was in…

ISS Launches Open Comment Period for 2021 ISS Benchmark Voting Policy Changes

USA - October 15 2020 ISS announced the launch of its annual benchmark voting policy comment period. ISS has made available for public comment a number of proposed changes…

SEC Proposes Expanded Exemption for “Finders”

USA - October 8 2020 At an open meeting of the Securities and Exchange Commission on October 7th, the Commission approved issuance of a proposed conditional exemptive…

Preliminary Planning for the 2021 Proxy Season

USA - September 30 2020 Our preliminary list of important planning considerations for the 2021 proxy season is set forth below…

SEC Modifies Shareholder Proposals Framework

USA - September 24 2020 On September 23rd, the Commission adopted rules altering the shareholder proposals submission (and re-submission) framework under Rule 14a-8 of the…