The staff of the SEC’s Division of Corporation Finance issued a Statement outlining disclosure expectations for entities conducting offerings of securities in connection with crypto asset-related activities.
The Statement...more
4/18/2025
/ Cryptoassets ,
Digital Assets ,
Disclosure Requirements ,
Howey ,
Investment ,
New Guidance ,
Regulation S-K ,
Reporting Requirements ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
The SEC announced the expansion of the availability of confidential submission of draft registration statements for various new registrations, including initial registration of securities on Form 10; initial registration of...more
3/7/2025
/ Capital Markets ,
Disclosure Requirements ,
EDGAR ,
Emerging Growth Companies ,
Foreign Private Issuers ,
Form 10-K ,
Form 20-F ,
Initial Public Offering (IPO) ,
JOBS Act ,
Registration Requirement ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Securities Regulation
Significant post-election shifts in corporate governance policy are already occurring among regulators, self-regulatory organizations and proxy advisors.
The SEC will no longer litigate its climate disclosure rules,...more
2/21/2025
/ Climate Change ,
Corporate Governance ,
Disclosure Requirements ,
Diversity and Inclusion Standards (D&I) ,
Environmental Social & Governance (ESG) ,
Glass Lewis ,
Investors ,
Nasdaq ,
Regulatory Agenda ,
Regulatory Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Shareholders
Nasdaq is proposing accelerated compliance and delisting timelines for all companies that do not comply with its minimum bid price requirement
Additionally, under the proposed rule, if a company has implemented a reverse...more
If a company implements a reverse stock split to meet the $1.00 minimum price rule that results in failing to comply with another listing standard (e.g., minimum publicly held shares or minimum number of public stockholders),...more
The SEC adopted new rules requiring public companies to (i) disclose material cybersecurity incidents on Form 8-K within four business days of determining that an incident is material, and (ii) periodically disclose their...more
8/8/2023
/ Cyber Incident Reporting ,
Cybersecurity ,
Disclosure Requirements ,
Form 10-K ,
Form 8-K ,
Investment Company Act of 1940 ,
Popular ,
Proposed Rules ,
Publicly-Traded Companies ,
Regulation S-K ,
Risk Management ,
Securities and Exchange Commission (SEC)
On May 16, 2023, the Delaware State Senate passed a bill proposing several amendments (the "2023 Amendments") to the General Corporation Law of the State of Delaware (the “DGCL”), including an amendment to Section 242 that...more
On 6 August 2021, the U.S. Securities and Exchange Commission (the “SEC”) approved The Nasdaq Stock Market LLC’s (“Nasdaq”) proposal to adopt listing rules 5605(f) and 5606 related to enhancing board diversity (the “Board...more
11/22/2021
/ Board of Directors ,
Corporate Governance ,
Disclosure Requirements ,
Diversity and Inclusion Standards (D&I) ,
LGBTQ ,
Listing Standards ,
Minorities ,
Nasdaq ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC) ,
Woman Board Members
Key Takeaways -
As stocks surge in reaction to news about COVID-19-related products and solutions, the SEC is actively working to protect investors from misleading statements, fraud, and even investment scams relating to the...more
7/13/2020
/ Biotechnology ,
Coronavirus/COVID-19 ,
Disclosure Requirements ,
Enforcement Actions ,
Investor Protection ,
Life Sciences ,
Material Misstatements ,
Popular ,
Risk Assessment ,
Risk Mitigation ,
Scams ,
Securities and Exchange Commission (SEC) ,
Vaccinations
In November 2007, the European Investment Bank set the blueprint for sustainable investment with the issuance of the world’s first green bond. Since then, interest in green finance, and in particular, green bonds, has...more
2/13/2020
/ Africa ,
ASEAN Funds ,
EU ,
European Commission ,
Global Economy ,
Green Bonds ,
Green Finance ,
International Capital Markets Association (ICMA) ,
Investment Funds ,
London Stock Exchange ,
Luxembourg Stock Exchange ,
Sustainability ,
Sustainable Finance ,
Taxonomy
Following the high profile direct listings by Spotify in 2018 and Slack in 2019, direct listings have been an area of increased focus in recent years, with both the New York Stock Exchange (NYSE) and Nasdaq seeking rule...more
In November 2019, Euronext announced the launch of its Euronext Green Bonds Offering across its six regulated markets in Amsterdam, Brussels, Dublin, Lisbon, Oslo and Paris. The Green Bonds Offering was the first product...more
2/11/2020
/ Applications ,
Eligibility ,
EU ,
Euronext ,
Green Bonds ,
Innovation ,
Investment Opportunities ,
London Stock Exchange ,
Luxembourg Stock Exchange ,
Offerings ,
Stock Exchange ,
Sustainable Finance
On 21 July 2019, the remaining provisions of the EU Prospectus Regulation came into force. Since this date, prospectuses for offers of securities to the public or admission to a regulated market in the EU have been required...more
2/10/2020
/ Alternate Performance Measures (APMs) ,
Capital Markets ,
EBITDA ,
EU ,
EU Prospectus Regime ,
European Economic Area (EEA) ,
European Securities and Markets Authority (ESMA) ,
Final Report ,
International Capital Markets Association (ICMA) ,
Public Offerings ,
Risk Factors ,
Technical Standards ,
UK