In a recent speech, SEC Chair Jay Clayton highlighted three areas of risk disclosure that the regulator plans to monitor in the upcoming filing season: (1) the impact of Brexit, the Unite...
In a pair of settled enforcement actions involving initial coin offerings that the SEC deemed to be illegal unregistered securities offerings, the agency imposed an agreed-upon remedy tha...
On October 31, 2018, the SEC adopted final rules modernizing disclosure requirements for companies with material mining operations (excluding oil and gas) as part of its ongoing “disclo...
On Tuesday, the Securities and Exchange Commission issued a Section 21(a) report of investigation emphasizing the importance of assessing the likelihood of cyberattacks when designing int...
When it enacted the FAST Act of 2015, Congress ordered the SEC to amend Regulation S-K by June 1, 2016 in order to eliminate provisions that are “duplicative, overlapping, outdated, or ...
On July 24, 2018, the Securities and Exchange Commission proposed amendments to the financial disclosure requirements in SEC-registered offerings that apply to guarantors and issuers of g...
Despite a political agenda packed with important issues like tariffs, immigration and a Supreme Court nomination, there have been a number of recent federal and state legislative developm...
The recent convictions of two traders for using hacked press releases and the settlement of SEC insider trading charges against a former Equifax manager highlight the significant insider ...
An initial public offering is a key inflection point for a company, not least because it often triggers the opportunity to review and replace the company’s corporate governance structur...
On July 2, 2018, the SEC issued an order criticizing an issuer’s disclosure of executive perquisites and requiring the issuer to take measures to ensure that its future disclosures comp...
