I can still vividly remember attending my first “SEC Speaks” conference back in the late 1980s, when I worked in Corp Fin. It’s amazing that it’s still around and it’s useful to hear the latest from the current SEC Commissioners and Staff. Learn what transpired recently at the recent “SEC Speaks” event, courtesy of this
DOJ Announces Sweeping Policy Updates for Corporate Criminal Enforcement and Individual Accountability
As noted in this Update penned by Jamie Schafer and Gina LaMonica, Deputy Attorney General Lisa Monaco announced several significant policy updates affecting the DOJ’s enforcement practices for both corporations and individuals in a speech last week. The DOJ simultaneously released a memorandum outlining the guidance announced by DAG Monaco. Read the Update for
Next Week’s Webcast: “The Pace of SEC Rulemaking is on Fire”
Join Allison Handy and Broc Romanek, among others, for a complimentary webcast hosted by Toppan Merrill next Wednesday, September 21st (from 1:00 – 2:00 pm eastern) — “The Pace of SEC Rulemaking is on Fire” — as the panel covers a dozen recent SEC rulemakings that you need to know about now…
Corp Fin Increases the Number of Industry Offices to Nine
Last week, the SEC announced that Corp Fin will increase the number of its industry offices to nine by adding two new offices later this year: the Office of Crypto Assets and the Office of Industrial Applications and Services.
For the first half of my career, the number of offices reviewing disclosure documents remained fairly
Subsidiary Management: Maintain Only One Policy for Expense Advancement & Indemnification
Following up on my series of blogs about subsidiaries, here’s something that can be a real sticking point for a subsidiary’s officers and directors – but if you don’t get a handle on it, it can be quite messy for you.
Expense advancement is important to these folks because of defense costs and indemnification
“Negotiating Out” Shareholder Proposals: 2 Things
During our recent webcast – “Proxy Season Post-Mortem – 20 Things” – at the 13:30 mark, Proxy Analytics’ Steve Pantina notes these developments during his discussion about negotiating shareholder proposals:
– Some shareholder proposals get settled – negotiated out – before they are ever disclosed in a public way so the 950+ shareholder
Webcast: “The Pace of SEC Rulemaking is on Fire”
Join Allison Handy and Broc Romanek, among others, for a complimentary webcast hosted by Toppan Merrill on Wednesday, September 21st (from 1:00 – 2:00 pm) — “The Pace of SEC Rulemaking is on Fire” — as the panel covers a dozen recent SEC rulemakings that you need to know about now…
A Section 16 Change That Some Might Have Missed (Way Back When)
For the next installment for my series of e-signature blogs, when the SEC amended Rule 302 of Regulation S-T in 2020, nearly everyone focused on that rule change – and the related relief it provided for those involved in the 10-Q and 10-K process. What some may have missed is that the SEC also
“Racial Equity Audit” Shareholder Proposals: 6 Things
During our recent webcast – “Proxy Season Post-Mortem – 20 Things” – at the 29:48 mark, Proxy Analytics’ Steve Pantina notes these developments during his discussion about shareholder proposals seeking racial equity audits:
– Proposals relating to racial equity/civil rights audit shareholder proposals were first introduced last year and the average support levels
Aspiring To Be Green? Avoid Common Advertising Pitfalls
We’ve blogged before about “What You Can (and Can’t) Say About ESG: FTC-Style” – so if you’re knee deep in climate issues these days, this new memo from Amanda Beane, Jason Howell, and Jared Bryant entitled “Aspiring To Be Green? Avoid Common Advertising Pitfalls“ is worth reading…