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 …

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

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…

Last week, the SEC announced that it had adopted the inflation adjustments for some of its JOBS Act rules as mandated by that Act. The JOBS Act requires the SEC to make inflation adjustments to those rules at least once every five years, which it last did in April 2017. Here’s the SEC’s fact sheet…

As universal proxy kicks in (it applies to any shareholder meetings involving a director election starting today, September 1st), Corp Fin issued three CDIs regarding Rule 14a-19 last week. To access these three new “Proxy Rules & Schedule 14A/14C” CDIs, you’ll need to search for, or scroll down to, 139.01, 139.02 and 139.03…

Twelve years in the making, the SEC adopted pay-for-performance (P4P) disclosure rules last week in the form of new Item 402(v) of Regulation S-K. Here’s the 234-page adopting release. And here’s the press release and fact sheet.

In 2010, as part of the Dodd-Frank Act, the SEC was directed to adopt pay-for-performance rules.

Last month, BlackRock published its 2022 Investment Stewardship report weighing in at 72 pages and covering engagements and voting from July 1, 2021 through June 30, 2022.

The report highlights BlackRock’s long-term investment focus and multi-year engagements with companies, as well as the growth of BlackRock Voting Choice, highlighted in Erin Gordon’s recent blog post…

A few days ago, President Biden signed the Inflation Reduction Act of 2022 into law – and there’s a number of items to unpack in it. This blog tackles nine things to know about the new excise tax equal to 1% of the fair market value of any stock repurchased by certain (generally domestic) corporations…