January 29, 2021 Webinar
3:00 pm – 4:00 pm EST
Register here.
The COVID-19 pandemic continues to impact public companies that file reports with the U.S. Securities and Exchange Commission (SEC) as they respond to their disclosure obligations and navigate other challenges posed by the pandemic. Join Candace Jackson, Christine McDevitt, Christina Thomas and…
Securities and Exchange Commission Chair Clayton had commented in several interviews over the last couple of months regarding possible SEC Staff guidance regarding SPAC disclosures. In a prior post, we also had noted that in remarks given at a conference this fall, SEC Commissioner Lee also had noted that perhaps given the proliferation in…
December 9, 2020
Intelligize Webinar
1:00 p.m. EST – 2:00 p.m. EST
Register here.
Preparation is key to a successful proxy and annual report season, and late fall is not too early to begin. As companies evaluate the ramifications of COVID-19 that need to be discussed in various contexts in annual filings with the…
In his remarks this week to the Economic Club of New York, Securities and Exchange Commission Chair Jay Clayton reviewed the many rulemaking and other accomplishments of the SEC in recent years. Following the impressive recap, the Chair took time to identify a number of areas “in need of imminent improvements.” Though a new Chair…
Yesterday, Securities and Exchange Commission Chair, Jay Clayton, testified before the U.S. Senate Committee on Banking, Housing, and Urban Affairs. In his last testimony, Chair Clayton confirmed his plans to conclude his tenure before year end. The Chair provided an overview of the work of the SEC during the year, addressing the SEC’s response to…
November 10, 2020
12:00pm – 1:00pm EST
Register here.
Preparations are key to a successful proxy and annual report season, and autumn is not too early to begin. As companies evaluate the ramifications of COVID-19 that need to be discussed in various contexts in annual filings with the US Securities and Exchange Commission, advance…
November 10, 2020
12:00pm – 1:00pm EST
Register here.
Preparations are key to a successful proxy and annual report season, and autumn is not too early to begin. As companies evaluate the ramifications of COVID-19 that need to be discussed in various contexts in annual filings with the US Securities and Exchange Commission, advance…
On October 8, 2020, the staff of the SEC’s Division of Corporation Finance spoke at PLI’s The SEC Speaks in 2020 program, providing insights on recent developments, rulemakings, guidance and initiatives.
Among the developments over the past year that Division Director William Hinman highlighted was the recognition that digital assets can be registered in compliance…
Preparations are key to a successful proxy and annual report season, and autumn is not too early to begin. While work on proxy statements, annual reports and annual meetings typically kicks into high gear in the winter, advance planning will make the process go more smoothly. This is especially true for the 2021 season, as…
On July 22, 2020, the US Securities and Exchange Commission (SEC) published supplementary guidance in the form of a policy statement regarding the proxy voting responsibilities of investment advisers under Rule 206(4)-6 under the Investment Advisers Act of 1940. This Legal Update provides further detail. Continue reading here.
