On July 26, 2023, the U.S. Securities Exchange Commission (“SEC”) adopted final rules regarding cybersecurity risk management, strategy, governance, and incident reporting by public companies. The final rules require...more
8/4/2023
/ Annual Reports ,
Customer Proprietary Network Information (CPNI) ,
Cybersecurity ,
Disclosure Requirements ,
FBI ,
Foreign Private Issuers ,
Form 8-K ,
Incident Response Plans ,
New Rules ,
Regulation S-K ,
Regulation S-X ,
Risk Management ,
Secret Service ,
Securities and Exchange Commission (SEC)
On March 9, 2022, the U.S. Securities Exchange Commission (the Commission) announced proposed amendments to its rules regarding cybersecurity risk management, strategy, governance, and incident reporting by public companies...more
3/18/2022
/ Corporate Governance ,
Cybersecurity ,
Data Privacy ,
Disclosure Requirements ,
Foreign Private Issuers ,
Investors ,
Popular ,
Proposed Amendments ,
Risk Assessment ,
Risk Factors ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Third-Party Service Provider
On November 17, 2020, the U.S. Securities and Exchange Commission (“SEC”) announced it had adopted amendments to Regulation S-T and other rules to permit the use of electronic signatures for SEC filings (the “Amendments”). ...more
Many aircraft purchasers fail to adequately consider how the ownership should be structured. A typical approach is to purchase the aircraft in a newly-formed limited liability company wholly-owned by an individual or an...more
Recently, the Securities and Exchange Commission (SEC) issued an order charging a publicly traded pharmaceutical company with violations of Regulation FD as a result of selectively disclosing material, nonpublic information....more
9/6/2019
/ Disclosure Requirements ,
Enforcement Actions ,
FDA Approval ,
Food and Drug Administration (FDA) ,
Non-Public Information ,
Pharmaceutical Industry ,
Public Disclosure ,
Publicly-Traded Companies ,
Regulation FD ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Violations
On March 20, 2019, the U.S. Securities and Exchange Commission (SEC) announced it had adopted a series of amendments to improve the readability and navigability of company disclosures, and to discourage the disclosure of...more
California is the first state to codify boardroom gender diversity requirements. On September 30, 2018, California Governor Jerry Brown signed into law Senate Bill 826, which requires publicly traded companies that were...more
On August 17, 2018, the U.S. Securities and Exchange Commission (SEC) announced that it had adopted a wide-ranging set of amendments (the “amendments”) to its disclosure requirements designed to streamline or eliminate those...more
On July 20, 2018, the United States Securities and Exchange Commission (the “SEC”) announced that it intends to host a roundtable in the fall 2018 to hear from market participants regarding the SEC’s rules governing the proxy...more
On November 1, 2017, the Division of Corporation Finance of the U.S. Securities and Exchange Commission (SEC) released Staff Legal Bulletin No. 14I (SLB 14I), which provides important guidance to public companies reviewing...more
On October 11, 2017, the U.S. Securities and Exchange Commission (SEC) voted to propose amendments to modernize and simplify disclosure requirements in Regulation S-K and related rules and forms to reduce the costs and...more
10/24/2017
/ Confidential Information ,
Disclosure Requirements ,
EDGAR ,
Fixing America’s Surface Transportation Act (FAST Act) ,
Form 10-K ,
Hyperlink ,
Investment Companies ,
Legal Entity Identifiers ,
MD&A Statements ,
Proposed Amendments ,
Registration Statement ,
Regulation S-K ,
Rule 105 ,
Section 13 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
On September 21, 2017, the U.S. Securities and Exchange Commission (SEC) released several items that provide additional guidance on the CEO Pay Ratio Rule (the “Rule”):
(1) SEC interpretive guidance;
(2) Revised pay...more
9/26/2017
/ Disclosure Requirements ,
Enforcement Actions ,
Executive Compensation ,
Independent Contractors ,
Interpretive Opinions ,
Median Employee ,
New Guidance ,
Pay Ratio ,
Publicly-Traded Companies ,
Regulation S-K ,
Securities and Exchange Commission (SEC) ,
Statistical Sampling
The U.S. Securities and Exchange Commission (SEC) recently announced that, beginning on July 10, 2017, the Division of Corporation Finance (the Division) will permit all companies to submit draft registration statements, on a...more
7/10/2017
/ Confidential Documents ,
Draft Documents ,
EDGAR ,
Emerging Growth Companies ,
Initial Public Offering (IPO) ,
JOBS Act ,
Registration Statement ,
Regulation S-X ,
Securities Act ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
On March 1, 2017, the U.S. Securities and Exchange Commission (SEC) adopted final rules that will require registrants that file registration statements or reports subject to the exhibit requirements under Item 601 of...more
The staff of the Securities and Exchange Commission’s Division of Corporation Finance (the staff) issued new compliance and disclosure interpretations (C&DIs) on October 18, 2016, providing guidance to companies preparing to...more
11/8/2016
/ C&DIs ,
CACM ,
Disclosure Requirements ,
Dodd-Frank ,
Executive Compensation ,
Furloughs ,
Independent Contractors ,
Median Employee ,
Pay Ratio ,
Publicly-Traded Companies ,
Regulation S-K ,
Securities and Exchange Commission (SEC)