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Environmental Social & Governance (ESG) Securities Exchange Act

Keating Muething & Klekamp PLL

Securities Snapshot: 3rd Quarter 2024 - Status of SEC Rulemaking & Expectations after Presidential Election

As the summer heat fades and leaves begin to fall, so, too, does the Securities and Exchange Commission’s regulatory momentum—at least for now. With the presidential election on the horizon, the fate of several key rulemaking...more

Bass, Berry & Sims PLC

Recyclable K-Cups: Investors Beware?

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On September 10, the Securities and Exchange Commission (the Commission or SEC) charged Keurig Dr Pepper Inc. (Keurig) for making inaccurate statements about the recyclability of its K-Cup single-use beverage pods.  Without...more

WilmerHale

SEC Takes Action Against Keurig for Allegedly Incomplete Disclosures Regarding Recyclability of K-Cups

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While the Securities and Exchange Commission’s (SEC) new climate-related disclosure rules remain stayed, the SEC has not abandoned its focus on sustainability-related issues. On September 10, 2024, the SEC charged Keurig Dr...more

Katten Muchin Rosenman LLP

Spring 2024 Agenda of Regulatory Actions Published: SEC Spotlight

Twice each year, the Office of Information and Regulatory Affairs publishes the semi-annual “Unified Agenda of Regulatory and Deregulatory Actions” of the various federal agencies. Here, we focus on the Securities and...more

Eversheds Sutherland (US) LLP

Climates Change SEC’s Disclosure Rules: Still substantial, the SEC approves scaled back climate disclosure rules

On March 21, 2022, the Securities and Exchange Commission (SEC) proposed expansive and controversial climate disclosure rules. Two years and 24,000 comment letters later, on March 6, 2024, the SEC voted 3-2 to adopt its...more

Paul Hastings LLP

SEC Issues Final Rule on Climate Disclosures

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In an open meeting on Wednesday, March 6, 2024, the Securities and Exchange Commission (“SEC”) approved in a 3-2 vote a Final Rule on climate disclosures that will “require registrants to provide certain climate-related...more

Vinson & Elkins LLP

Courting Shareholder Proposals: ExxonMobil Sidesteps SEC and Sues to Block Scope 3 Shareholder Proposal - UPDATED February 2, 2024

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ExxonMobil (“Exxon”) filed a complaint in the U.S. District Court for the Northern District of Texas on Sunday, January 21, 2024, seeking a declaratory judgment to exclude a shareholder proposal from its proxy statement...more

BakerHostetler

Preparing for the 2024 Proxy and Annual Reporting Season: Key Issues and Considerations

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For the upcoming 2024 proxy and annual reporting season, there are a number of key issues to consider and keep an eye on for further developments as preparations commence. This alert provides an overview of these issues and...more

Vinson & Elkins LLP

Fifth Circuit Upholds Nasdaq Board Diversity Rule

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On October 25, a panel of the Fifth Circuit Court of Appeals (the “Fifth Circuit”) upheld the Nasdaq board diversity rule in the face of challenges that (among other things) the rule attempted to improperly and...more

Ballard Spahr LLP

Municipal Securities Regulation and Enforcement: 2023 Mid-Year Review

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2023 MID-YEAR REVIEW - In the first half of 2023, several rule changes have been proposed by the Municipal Securities Rulemaking Board (MSRB) and the U.S. Securities and Exchange Commission (SEC), including changes to...more

Katten Muchin Rosenman LLP

Katten Financial Markets and Funds Quick Take | Issue 15

Four Key Considerations Since SEC Amended Form PF - In early May, the Securities and Exchange Commission (SEC) adopted a final rule amending Form PF, the confidential reporting form for certain SEC-registered investment...more

Katten Muchin Rosenman LLP

SEC’s ESG Task Force Racks Up Another Win — Dam Collapse Becomes $55 Million Securities Fraud

The Securities and Exchange Commission’s (SEC) Climate and ESG Task Force has scored another victory quickly on the heels of its recent settlement with Activision. On March 28, the SEC announced a settlement with the publicly...more

Jackson Lewis P.C.

$35M SEC Settlement Underscores Processes, Procedures Ensuring Appropriate Public Disclosures

Jackson Lewis P.C. on

In a $35 million settlement that emphasizes the “S” for social in Environmental, Social and Corporate Governance (ESG) issues in public filings, publicly traded video game developer Activision Blizzard, Inc. has agreed with...more

Katten Muchin Rosenman LLP

SEC’s ESG Task Force Strikes Again

Activision Blizzard Workplace Misconduct Allegations Transformed into Securities Violations - In another victory for the Securities and Exchange Commission’s (SEC) Climate and ESG Task Force, videogame developer...more

Seward & Kissel LLP

SEC Updates for the Upcoming 2022 Annual Reports on Form 10-K and Form 20-F

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The U.S. Securities and Exchange Commission (the “SEC”) has adopted amendments and updated disclosure requirements that are to be included in a reporting company’s annual report on Form 10-K or 20-F. The SEC has also proposed...more

Morrison & Foerster LLP

Private Fund Advisers 2023 Regulatory Outlook

Sponsors and managers of private funds must attend to various routine regulatory and compliance tasks, which can include ongoing reporting obligations under the Investment Advisers Act of 1940 (the “Advisers Act”), updating...more

Morrison & Foerster LLP

Top 5 SEC Enforcement Developments for November 2022

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In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources....more

Vinson & Elkins LLP

The SEC Continues to Ramp-up Enforcement Activity; Reports Record Penalties in 2022

Vinson & Elkins LLP on

On November 15, 2022, the Securities and Exchange Commission (“SEC”) announced its 2022 enforcement statistics. Notable amongst the data was the news that the SEC had filed 760 total enforcement actions in fiscal year 2022, a...more

Dechert LLP

Securities and Derivative Litigation: Quarter 3 2022 Update

Dechert LLP on

In this edition of Dechert’s Securities & Derivative Litigation Quarterly Update, we examine: (1) the Delaware Court of Chancery’s latest post-trial decision showing how the special committee process is critical in the...more

Wiley Rein LLP

A Client Alert About Client Alerts – SEC Cites Alerts In Issuing $400,000 Fine Related to Whistleblower Protections

Wiley Rein LLP on

What: On June 22, 2022, the Securities and Exchange Commission (SEC) settled charges against The Brink's Company (Brinks) for requiring employees to sign confidentiality agreements that prohibited disclosure of any financial...more

Morrison & Foerster LLP

Top 5 SEC Enforcement Developments for April 2022

In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources....more

Lowenstein Sandler LLP

Material Investment Management Developments and Template Annual Compliance Checklists for Registered Investment Advisers, Exempt...

Summaries of recent legislative and regulatory developments with respect to: •SEC’s 2022 Examination Priorities • Proposed Amendments to Form PF Requirements- •Proposed New Rules Applicable to Private Fund Advisers and...more

Akin Gump Strauss Hauer & Feld LLP

[Podcast] ESG Litigation in the US – Disclosures and Risks

In this new episode of Accelerate ESG, Akin Gump litigation partner Jacqueline Yecies and counsel Stephanie Lindemuth discuss litigation related to environmental, social and governance (ESG) matters in the United States....more

Mintz - Securities & Capital Markets...

A Brief Summary of the SEC’s Proposed Climate-Related Rules

On March 21, 2022, the Securities and Exchange Commission (“SEC”) unveiled its long-anticipated proposed rules on climate disclosures, entitled “The Enhancement and Standardization of Climate-Related Disclosures for...more

Baker Donelson

FAQ: The SEC's Proposed Rule on the Enhancement and Standardization of Climate Related-Disclosures

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On March 21, 2022, the U.S. Securities and Exchange Commission (SEC) released its much-anticipated proposed rule titled "The Enhancement and Standardization of Climate-Related Disclosures for Investors." The proposed enhanced...more

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