With the annual report season underway, calendar year-end public companies are finalizing annual reports on Forms 10-K and 20-F. Risk factors are a key area requiring potential updates to these public filings. Generally, the...more
2/18/2025
/ Annual Reports ,
Disclosure Requirements ,
Environmental Litigation ,
Environmental Protection Agency (EPA) ,
Form 10-K ,
PFAS ,
Publicly-Traded Companies ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Toxic Chemicals
On December 11, 2024, the U.S. Court of Appeals for the Fifth Circuit, in a 9-8 en banc decision, vacated the approval of Nasdaq's board diversity rules by the Securities and Exchange Commission (SEC). The court held that the...more
12/30/2024
/ Board of Directors ,
Corporate Governance ,
Diversity ,
Diversity and Inclusion Standards (D&I) ,
Nasdaq ,
Proxy Season ,
Publicly-Traded Companies ,
Regulation S-K ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Vacated
The securities law disclosure framework has evolved to encourage; companies acting in good faith to disseminate relevant projections pertaining to their businesses to the general public "without fear of open-ended liability."...more
9/4/2024
/ Compliance ,
Corporate Governance ,
Corporate Issuers ,
Disclosure Requirements ,
EDGAR ,
Form 8-K ,
PSLRA ,
Regulation S-K ,
Safe Harbors ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
We recently had the opportunity to attend and participate in the Benzinga Future of Digital Assets conference. This event, a significant gathering in the world of cryptocurrencies and blockchain technology, attracted a...more
Companies that are listed on the Nasdaq Stock Market or the New York Stock Exchange are required to adopt a clawback policy that provides for the recovery from any current or former executive officers of incentive-based...more
11/16/2023
/ C-Suite Executives ,
Clawbacks ,
Compliance ,
Compliance Dates ,
Corporate Counsel ,
Corporate Governance ,
Disclosure Requirements ,
Executive Compensation ,
Financial Reporting ,
Financial Restatements ,
Indemnification ,
Listing Rules ,
Nasdaq ,
NYSE ,
Proxy Statements ,
Publicly-Traded Companies ,
Rule 10D-1 ,
Securities Exchange Act ,
Total Shareholder Return (TSR)
On December 14, 2022, the SEC adopted amendments to Rule 10b5-1 as well as related new disclosure requirements for companies. In addition, Forms 4 and 5 are amended to require the identification of transactions made pursuant...more
On February 10, 2022, the Securities and Exchange Commission (the "SEC") proposed amendments to Regulation 13D-G and Regulation S-T governing the reporting requirements of greater than 5% beneficial owners of shares of public...more