The SEC’s proposals include cooling-off periods for Rule 10b5-1 trading plans, public disclosure around Rule 10b5-1 trading plans, significant new disclosures for option grants and stock…
On November 4, 2021, ISS proposed for comment potential U.S. voting policies. Of particular note are proposed policies where ISS will hold directors accountable at U.S. companies with multi…
Nasdaq’s new board diversity rules, approved by the SEC on August 6, will require listed companies to have diverse board members or explain why they do not. In addition, the rules will…
This week, the staff of the SEC issued a statement expressing a view that, despite the widespread practice to the contrary, most warrants issued in connection with a SPAC transaction should…
On December 22, the Securities and Exchange Commission approved for the second time the NYSE’s proposed rule change that would permit companies to raise capital in a direct listing by…
On November 24, 2020, the SEC released proposed amendments and proposed temporary rules relating to the federal securities laws that govern the issuance of equity securities to service…
This week the SEC amended its rules to permit electronic signatures on documents submitted to the SEC through EDGAR, as long as certain procedures are followed. We expect these amendments…
This week, the SEC adopted broad changes to the current framework of private offerings, including simplifying rules to permit concurrent public and private offerings and increasing the size…
