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Shearman & Sterling LLP | USA | 10 Sep 2019

Southern District Of New York Dismisses In Part Securities Fraud Claims Against Major Industrial Conglomerate, Allowing Claims Based Upon Factoring In Financial Filings To Proceed

On August 29, 2019, Judge Jesse M. Furman of the U.S. District Court for the Southern District of New York dismissed most of the securities fraud


White & Case LLP | USA | 17 May 2019

SEC Proposes Changes to Financial Disclosure Relating to Business Acquisitions and Dispositions

On May 3, 2019, the Securities and Exchange Commission (the "SEC") proposed amendments to its rules governing disclosure of financial statements by


Sheppard Mullin Richter & Hampton LLP | USA | 5 Feb 2019

SEC Administrative Proceedings Against Public Companies for Failure to Remediate Material Weaknesses in Internal Control Over Financial Reporting

Public reporting companies that have material weaknesses in their internal control over financial reporting (“ICFR”) are required under Rule 308 of


Hogan Lovells | USA | 30 Jan 2019

SEC brings enforcement action for violation of "equal or greater prominence" requirement in presentation of non-GAAP financial measures

The SEC's Division of Enforcement recently instituted cease-and-desist proceedings against a company for violating Section 13(a) of the Exchange Act


Duane Morris LLP | USA | 28 Jan 2019

U.S. SEC Adopts Amendments to Update and Simplify Disclosure Requirements

In August 2018, the U.S. Securities and Exchange Commission (SEC) voted to adopt amendments to certain disclosure requirements that have become


Winston & Strawn LLP | USA | 24 Jan 2019

ISS FAQs on Compensation Policies in General

Earlier this week, I posted on the ISS FAQs on Equity Compensation Plans. Today, we discuss the ISS U.S. Compensation Policies, FAQs, Updated December


McDermott Will & Emery | USA | 17 Jan 2019

Capital Markets & Public Companies Quarterly: Reminders for the Form 10-K and Proxy Statement, Cyber-Related Frauds Report, Staff Legal Bulletin 14J and Updates to Proxy Voting Guidelines

For many companies, closing out 2018 means it is time to prepare an annual report and shift attention to the upcoming proxy season. This is an


Proskauer Rose LLP | USA | 14 Jan 2019

SEC Brings Enforcement Proceedings on Non-GAAP Financial Disclosure

The SEC recently instituted cease and desist proceedings relating to a company's use of non-GAAP financial measures, signaling the agency's continued


Shearman & Sterling LLP | USA, United Kingdom, European Union | 11 Jan 2019

It’s Annual Report TimeRecent Developments and Trends for the Preparation of Form 20-F

It is now time for foreign private issuers to prepare their annual reports on Form 20-F. For companies with a calendar year-end, the Form 20-F must be


Mayer Brown | USA | 8 Jan 2019

SEC Is Serious About “Equal Prominence” Rule in Presentation of Non-GAAP Financial Measures in Earnings Releases

The US Securities and Exchange Commission (SEC) recently gave a strong reminder of the importance of providing equal or greater prominence to the

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