The U.S. Securities and Exchange Commission’s (SEC) Division of Corporation Finance recently released updates to several Compliance & Disclosure Interpretations (C&DIs) related to the SEC’s recently adopted rules directing...more
2/7/2023
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Clawbacks ,
Corporate Governance ,
Financial Reporting ,
Form 10-K ,
Form 20-F ,
Listing Standards ,
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Publicly-Traded Companies ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
Overview - The SEC yesterday adopted amendments to modernize Exchange Act Rule 14a-8 — shareholder proposal rule, which governs the process for shareholders to make proposals that will be included in a company’s proxy...more
The Office of Compliance Inspections and Examinations (the “OCIE”) of the U.S. Securities and Exchange Commission (the “SEC”) published a risk alert on Aug. 12 titled Select COVID-19 Compliance Risks and Considerations for...more
The U.S. Securities and Exchange Commission (the “SEC”) has adopted Form CRS and related rules under the Investment Advisers Act of 1940 (the “Advisers Act”) and the Securities Exchange Act of 1934 (the “Exchange Act”), in...more
During the past several weeks, the spread of the new coronavirus, or COVID-19, has had an almost unprecedented effect throughout the U.S. economy. The World Health Organization has officially declared it a pandemic. ...more