Articles: 1-10 of 23
ISS Benchmark Policy Changes for 2021 Proxy Season
USA - February 16 2021 On October 14, 2020, Institutional Shareholder Services Inc. (ISS) released for comment its proposed voting policy changes to be applied to…
SEC Sharpens Focus on RIA Compliance Programs, Part 2
USA - February 5 2021 In November 2020, the staff of the SEC’s Division of Examinations (f.k.a. OCIE) (the “Examinations Division” and its staff, “Examinations Staff”)…
Nasdaq Proposes New Listing Rules Aimed at Advancing Diversity Among Corporate Boards
USA - January 15 2021 On December 1, 2020, Nasdaq proposed new listing rules with the U.S. Securities and Exchange Commission (SEC) that would require companies listed on…
SEC Proposes to Modernize Access to Private Capital Markets by Amending the Definition of "Accredited Investor"
USA - December 19 2019 On December 18, 2019, the Securities and Exchange Commission (SEC) proposed amendments to the definition of “accredited investor” to add new…
The SEC Announces Proposed Amendments to the Shareholder Proposal Rule
USA - November 6 2019 On November 5, 2019, the Securities and Exchange Commission (SEC) announced proposed amendments to modernize Exchange Act Rule 14a-8, also known as…
Want to Test the Waters? Now All Issuers Can
USA - September 26 2019 Earlier this year, we discussed how all issuers may soon get their chance to test the waters. This morning it became official, when the Securities…
The SEC Announces Another Fee Rate Increase, Effective October 1, 2019
USA - August 27 2019 On August 23, 2019, the Securities and Exchange Commission (SEC) announced that, effective October 1, 2019, the fees that public companies pay to…
How The SEC Could Expand Access To Private Offerings
USA - July 16 2019 The U.S. Securities and Exchange Commission issued a concept release on June 18, 2019, seeking public comment on a broad range of issues relating to…
The Government Shutdown May Impact the Timing of Your Deal
USA - January 3 2019 As the partial federal government shutdown enters its thirteenth day, political pundits predict that the shutdown is likely to continue with no end in…
Time to Update Your Form 10-Q and Form 10-K Cover Pages Again
USA - October 30 2018 On June 28, 2018, the SEC issued a final rule regarding eXtensible Business Reporting Language (XBRL) requirements. Beginning on September 17, 2018…
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