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 SEC finalized rules to implement the Holding Foreign Companies Accountable Act. The law was enacted in 2020 in response to the inability of the PCAOB to inspect the audits of China-ba...
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...
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...
The SEC filed an enforcement action against a company for disclosing the risk that it “could” have a data privacy breach when it knew it already had experienced a breach. The action a...
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 April 2nd, the SEC approved NYSE rule changes that will relax current requirements to obtain shareholder approval prior to certain equity issuances. The changes will facilitate capital...
