Newsletters

09.01.17

SEC Hyperlink Rules Are Live

Effective September 1, 2017, the Securities and Exchange Commission’s (SEC) recently adopted rules require most companies that file public reports to include active hyperlinks to each exhibit listed in the exhibit index, as well as exhibits incorporated by reference, included in registration ...


10.31.16

SEC Eases Rules on Intrastate Crowdfunding

On October 26 the Securities and Exchange Commission (SEC) unanimously adopted new and amended rules aimed at making it easier for companies to raise money from investors through intrastate and small offerings.


12.21.15

Congress Takes the FAST Lane to Important Securities Reforms

On December 4, 2015, the President signed the Fixing America's Surface Transportation Act, better known as the FAST Act, which had been approved by a bipartisan Congress.


07.02.15

Ouch! SEC’s Proposed Executive Compensation Clawback Rules Carry a Sting

On July 1, 2015, the Securities and Exchange Commission proposed long-awaited rules to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 mandating any company whose securities are listed on a national securities exchange to adopt and enforce a policy ...


04.30.15

SEC Announces Pay Versus Performance Proposal

On April 29, 2015, the Securities and Exchange Commission announced the long-awaited proposal to disclose the relationship between executive pay and a company’s financial performance (the Pay to Performance Proposal).


04.27.15

Keys to Surviving Your First IPO

2014 was a big year for initial public offerings (IPOs). According to Renaissance Capital, 273 companies took the plunge in 2014, the most since 406 companies went public in 2000.


03.30.15

“A” is For Approved: SEC Finalizes Regulation A+, the Small Offering Exemption

Securities lawyers had a “first time in forever” moment on March 25, when the U.S. Securities and Exchange Commission (SEC) voted to approve landmark reforms to its Regulation A, the so-called (and until now little-used) “small offering exemption.”


01.29.13

SEC Approves NYSE and NASDAQ Rules on Compensation Committees and Advisers

The Securities and Exchange Commission has approved new listing requirements promulgated by the New York Stock Exchange and the NASDAQ Stock Market relating to the composition and oversight provided by compensation committees. 


11.20.12

ISS Releases 2013 Voting Policy Updates: Two Key Changes on Director Voting Recommendations

On November 16, 2012, Institutional Shareholder Services (ISS) released its 2013 "Corporate Governance Policy Updates and Process," which will be used in its proxy voting recommendations for this upcoming annual meeting season. 


05.14.12

SEC Issues Additional Guidance on the Implementation and Application of the JOBS Act

The Jumpstart Our Business Startups Act (the JOBS Act), enacted on April 5, 2012, changes and liberalizes the regulatory landscape for both public and private companies seeking to raise capital.