With a potential government shutdown only a few days away, we provide a number of SEC shutdown practice pointers for public companies and capital markets transactions.
Buried in a defense spending bill that clocks in at over 2,000 pages is an amendment to Section 16 of the Exchange Act that would extend its application to foreign private issuers, adding...
In its third attempt over the past 15 years, the SEC adopted amendments to Regulation M to remove references to credit ratings, the last step in completing Dodd-Frank’s mandate to elimi...
While the new rules will not require stock buyback disclosure within one business day as was proposed, they mandate significant new disclosure relating to stock buybacks with no accommoda...
After consultation with market participants late last year, S&P Dow Jones makes companies with multiple class shares eligible for index inclusion again.
Activision Blizzard agreed to pay $35 million to settle SEC charges that it violated disclosure controls and whistleblower protection rules. The settled enforcement action highlights the ...
The Treasury Department advised Congress last week that the government is expected to reach its debt limit on January 19. After that, Treasury will be required to take “extraordinary me...
On the heels of a similar rule change for Nasdaq, the SEC approved rule changes relaxing price range limitations for primary direct listings on the NYSE. The modified rule allows the open...
In a significant and welcome change from the SEC’s proposal, the agency will not mandate cooling-off periods for 10b5-1 plans used for corporate stock buybacks. For plan use by director...
