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We are excited to announce the release of the 6th edition of our popular publication: “The Public Company Handbook.” This easy-to-read guide provides you with insight regarding legal and other board management issues facing public – or soon-to-be-public…
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In this blog feature, our in-house readers share tips, anecdotes, and thoughts about topics that arise in their daily practice. This particular batch of thoughts is about disclosure controls, particularly…
Continue Reading In-House Corner: Disclosure Controls – Part 2The folks in our “Emerging Companies & Venture Capital Law” group have been doing an amazing job the past few days providing constant updates on all the developments related…
Continue Reading Silicon Valley Bank: All the LatestDOJ Brings First Criminal Charges Stemming From Use of Rule 10b5-1 Plan
Last week, the DOJ unsealed an indictment against the CEO of a publicly traded healthcare company (the Executive) relating to charges of an insider trading scheme. The indictment represents the…
Continue Reading DOJ Brings First Criminal Charges Stemming From Use of Rule 10b5-1 PlanWhen a new insider is required to make Section 16 filings, that insider will need to obtain Edgar codes to allow for electronic filing with the SEC. Typically, the corporate…
Continue Reading Form ID: Be Aware of What Title You UseDOJ Prioritizes Enforcement of Sanctions and Export Control Violations Against Companies
Here’s an excerpt from this “White Collar Briefly” blog about this recent speech by DOJ Deputy Attorney General Lisa Monaco heralding a new era of corporate enforcement aimed at addressing…
Continue Reading DOJ Prioritizes Enforcement of Sanctions and Export Control Violations Against CompaniesFollowing up on my long-running series of e-signature blogs, for some reason, this topic always fascinates me: “How do companies – in practice – retain all those signatures for…
Continue Reading How Should We Develop Disclosure Controls for an E-Signature Process?Last October, the SEC adopted final rules directing the NYSE and Nasdaq to adopt listing standards requiring companies to have clawback policies that provide for the recovery, in the event…
Continue Reading The NYSE & Nasdaq Propose Their Clawback RulesIn this blog feature, our in-house readers share tips, anecdotes, and thoughts about topics that arise in their daily practice. This particular batch of thoughts is about disclosure controls, particularly…
Continue Reading In-House Corner: Disclosure Controls – Part 1With the April 13th deadline for mandatory Edgar filing for all Form 144s looming just ahead, the SEC amended Regulation S-T last week to expand the daily window for filing…
Continue Reading SEC Expands Daily Filing Window for Forms 144 to Match Section 16 ReportsDuring our recent webcast – “Proxy Season Roundtable: What You Need to Know Now” – Proxy Analytics’ Steve Pantina talked about SEC’s updated rules regarding Form N-PX changes…
Continue Reading Changes to Form N-PX: What Might Be the Impact on This Proxy Season?A few days ago, the SEC adopted new rules related to the settlement of securities transactions. Specifically, the new rules call for a shorter T+1 settlement cycle. The rules become…
Continue Reading SEC Adopts T+1 Settlement (But Longer Settlement Cycles Permitted)The Coming Cybersecurity/Climate Disclosure Rules: Time to Reevaluate Your Disclosure Controls?
With the SEC’s final cybersecurity and climate disclosure rules just around the bend, and with increased scrutiny of disclosure already required under current rules, it’s fair to ask yourself whether…
Continue Reading The Coming Cybersecurity/Climate Disclosure Rules: Time to Reevaluate Your Disclosure Controls?