Rule 10b5-1 plans are back in the news. These plans are widely used by officers and directors of public companies to sell stock according to the parameters of the affirmative defense to i...
On August 22, 2012, the SEC issued final rules to implement Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, which requires companies that file Exchange Act ...
On September 25, 2012, both the NYSE and Nasdaq proposed listing standards to implement the SEC’s requirements regarding the independence of compensation committees and their advisers. ...
Many companies voluntarily impose a “blackout period” beginning around the time a quarter ends and continuing through the quarter’s earnings announcement or subsequent 10-Q or 10-K ...
On August 29, 2012, the Securities and Exchange Commission (“SEC”) issued a proposal to permit widespread advertising and other forms of “general solicitation” in private offering...
On August 22, 2012, the SEC staff released Frequently Asked Questions (“FAQs”) about certain JOBS Act provisions that address the conduct of research analysts and the publication of r...
The SEC voted today to implement the Dodd-Frank Act’s reporting requirements relating to “conflict minerals” – cassiterite, columbite-tantalite, gold, wolframite and other mineral...
The SEC voted today to adopt final rules to implement Section 1504 of the Dodd-Frank Act relating to resource extraction issuers. The rules provide that a U.S. or foreign company that (1)...
The SEC staff has issued frequently asked questions on the JOBS Act. Below are new FAQs most likely to be of interest to capital markets participants. We will continue to provide JOBS Act...
On April 5, 2012, the President signed into law the Jumpstart Our Business Startups Act (the “JOBS Act”), the most significant Congressional relaxation in memory of restrictions surro...
