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A divided Securities and Exchange Commission voted to amend its whistleblower rules to: (1) increase the amounts of smaller awards; (2) assert SEC discretion in determining award amounts;...
On October 14, 2020, the U.S. State Department submitted to relevant committees of Congress the report required under Section 5(a) of the Hong Kong Autonomy Act of 2020 (“HKAA”). The ...
On October 8, 2020, Glass Lewis (GL) released reports providing its overview of the 2020 proxy season. These reports cover selected shareholder vote results and trends, market and regulat...
The SBA has issued a long-awaited Procedural Notice providing guidance on the procedures for changes of ownership of an entity that has received Paycheck Protection Program funds.This mem...
On September 30, 2020, California Governor Gavin Newsom signed Assembly Bill 979, which will require each NYSE and Nasdaq-listed public company with its principal executive offices in Cal...
The SEC has shown its willingness to continue to take companies to task for not disclosing perquisites and personal benefits to executive officers in a manner that is consistent with the ...
A speech by the Director of Enforcement and several recent insider trading cases signal that the SEC will seek increased penalties in some cases in response to the Supreme Court’s disgo...
Rules and Regulations
SEC Expands Access to Private Offerings
Industry Update
OCIE Publishes Risk Alert on Cybersecurity: Safeguarding Client Accounts Against Credential Compromise
Li...
Rules and Regulations
SEC Expands Access to Private Offerings
Industry Update
OCIE Publishes Risk Alert on Cybersecurity: Safeguarding Client Accounts Against Credential Compromise
Li...
Our 2020 IPO corporate governance survey reviews governance structures at the time of the IPO for the largest U.S.-listed IPOs of “controlled” and non-“controlled” companies betwe...