Disclosure Requirements

January 26, 2022 Webinar
12:00pm – 1:00pm EST
Register here.

Various academic studies and some well-publicized sales by corporate executives made pursuant to 10b5-1 trading plans have drawn media scrutiny and attention from legislators, prompting calls for the SEC to take a closer look at the area. In addition, issuer share repurchase programs have

January 11, 2022 | PLI Webinar
3:00pm – 4:00pm EST
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Mayer Brown partners, Brian Hirshberg and Christina Thomas, will discuss US Securities Exchange Commission (“SEC”) disclosures, issues and recent developments for foreign private issuers (“FPIs”) during this Practising Law Institute briefing. Key topics to be addressed, among others, include:

  • Areas of focus

The US Securities and Exchange Commission (SEC) adopted final amendments to its rules on December 2, 2021 to implement the requirements in the Holding Foreign Companies Accountable Act of 2020.  Although for the foreseeable future, the majority of the new rules are expected only to affect SEC registrants whose operations are based in China or

The NYSE’s yearly statistics release highlights a second consecutive year of record new listings and the exchange’s increased focus on sustainability.  This year’s listings added $1 trillion of new market capitalization to the exchange, with a total of 2,400 companies listed.  Technology, biotech, and consumer products companies were prominently represented.  Four of the five largest

On December 20, 2021, the US Securities and Exchange Commission’s Division of Corporation Finance (“Division”) issued the Sample Letter (“Letter”) to companies based or having the majority of their operations in the People’s Republic of China (“China-based Companies”). The Letter requires China-based Companies to disclose in their public filings “more prominent, specific and tailored” risks

On December 15, 2021, the US Securities and Exchange Commission (the “SEC”) issued proposed amendments to its existing rules regarding disclosures about purchases of an issuer’s equity securities by or on behalf of the issuer or an affiliated purchaser, commonly referred to as “buybacks.” The Proposed Amendments would apply to issuers that repurchase securities registered

On December 15, 2021, the Securities and Exchange Commission (the “SEC”) proposed amendments (the “proposal”) to Rule 10b5-1 under the Securities Exchange Act of 1934 (the “Exchange Act”) and related disclosure obligations for public companies. The proposal would (i) add new conditions to the availability of the affirmative defense to insider trading liability contained in

Recent investigations share findings that over 130 US Federal judges presided over cases in which they had a financial conflict of interest since 2010.  In a 422-4 vote this week, the House passed a bipartisan bill that would require US federal judges to share their financial disclosure reports publicly.

Under this bill designed, which is

On November 17, 2021, the US Securities and Exchange Commission (SEC) adopted mandatory universal proxy rules that will apply for all contested director elections. Under the final rules, each universal proxy card must list all management and dissident nominees for director, enabling shareholders voting by proxy to pick and choose among the different slates of

December 8, 2021 Webinar | Hosted by Intelligize
1:00pm – 2:00pm EST
Register here.

It is once again time to prepare for proxy and annual report season. Companies will have to weigh various considerations this upcoming proxy season, including the objectives of new leadership at the US Securities and Exchange Commission, reporting obligations relating