December 10, 2020 Webinar
12:00pm – 12:30pm EST
Register here.

Nearly one month after the US Securities and Exchange Commission (SEC) announced a settled action In the Matter of Andeavor LLC, two SEC commissioners issued a rare dissenting statement on November 13, 2020. The commissioners disagreed with the majority’s application of Exchange Act

On December 1, 2020, the Nasdaq Stock Market LLC filed with the US Securities and Exchange Commission (SEC) a proposal for new listing rules related to board diversity and disclosure, which are intended to advance board diversity and enhance the transparency and comparability of diversity statistics. The new rules would require Nasdaq-listed companies:

  • to have,

The US Securities and Exchange Commission (SEC) Division of Corporation Finance published CF Disclosure Topic No. 10 (the disclosure topic) on November 23, 2020.  The disclosure topic provides guidance to China-based Issuers: companies based in or with the majority of their operations in the People’s Republic of China (China).  The guidance is the latest step

On November 19, 2020, the US Securities and Exchange Commission continued its recent efforts to modernize and simplify certain financial disclosure requirements in Regulation S-K by amending Item 303 of Regulation S-K (Management’s Discussion and Analysis of Financial Condition and Results of Operations (MD&A)) and revising or eliminating several other requirements of Regulation S-K. This

The Securities and Exchange Commission released for comment proposed rules that would apply on a temporary basis to allow for broader reliance on Rule 701 and Form S-8 for stock-based compensation related awards to gig or platform workers.  These workers may not be employees or consultants eligible to receive stock-based awards under current Rule 701. 

Some time ago, in 2018, the Securities and Exchange Commission had issued a concept release requesting public comment on possible amendments to Rule 701 and Form S-8.  The concept release followed after the SEC Staff had issued a number of Compliance and Disclosure Interpretations on Rule 701, and after federal legislation had modified the dollar

Yesterday, November 23, 2020, the Staff of the Securities and Exchange Commission Division of Corporation Finance issued CF Disclosure Guidance Topic No. 10.  The guidance addresses disclosure considerations for companies that are based in or that have a majority of their operations in China.  This guidance follows various public statements from SEC officials, as well

The Securities and Exchange Commission continues to move forward with its rulemaking agenda.  Today, the SEC announced that it voted to adopt amendments to the MD&A disclosure requirements.  These had been proposed at the beginning of the year.  The amendments are part of the SEC’s continuing disclosure effectiveness initiative and are intended to modernize and

The US Securities and Exchange Commission has amended Regulation S-T and the EDGAR Filer Manual to permit the use of electronic signatures for filings on EDGAR that are required to be signed and has made corresponding revisions to various rules and forms under the Securities Act of 1933, the Securities Exchange Act of 1934 and