Ning Chiu

A novel insider trading case for trading the stock of a company that the trader did not work for and that was not the target in the M&A transaction has drawn attention for its possible im...

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 stoc...

The new rule may make it easier for dissidents to persuade shareholders to vote for a few nominees opposed by management in order to “send a message.”

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 mul...

The SEC signaled increased unwillingness to allow companies to exclude shareholder proposals from proxy statements.

The SEC’s renewed request for comments on its clawback rule suggests an aggressive approach to recovery of incentive-based compensation.

A proposed NYSE amendment would eliminate the requirement to include abstentions as “votes cast” against a company’s proposal. Instead, companies would be able to follow their own gov...

Changes are on the horizon for a risk management tool widely used by both insiders and companies

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 ...

On March 5, the SEC announced charges against AT&T for violating Regulation FD (Fair Disclosure), the agency’s marquee rule forbidding companies from “selectively disclosing” materi...