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Revised C&DI Permits Filing and Declaring Effective Non-Automatically Effective Forms S-3 Prior to Filing Part III Information
On March 20, 2025, the staff of the SEC’s Division of Corporation Finance issued revised Securities Act Forms C&DI Question 114.05 indicating that non-automatically effective registration statements on Form S-3 may now be filed and declared effective after an issuer…
Disclosure Considerations: Nasdaq Board Diversity Matrix
On December 11, 2024, the United States Court of Appeals for the Fifth Circuit vacated the Securities and Exchange Commission’s order related to the rule that required companies listed on Nasdaq to include a board diversity matrix in their proxy…
The SEC Staff Enhances Draft Registration Statement Accommodations
By David Lynn
New Nasdaq and NYSE Delisting Rules Restrict Use of Reverse Stock Splits
By Publisher
In January 2025, the Securities and Exchange Commission (SEC) approved rules proposed by the New York Stock Exchange and Nasdaq that permit the exchanges to accelerate the delisting process for companies that fail to maintain a $1 minimum share price.…
ISS Indefinitely Halts Director Diversity Considerations
On February 11, 2025, Institutional Shareholder Services (ISS) announced, that, for shareholder meeting reports published on or after February 25, 2025, it will no longer consider the gender, racial, or ethnic diversity of a company’s board when making vote…
Early Takeaways from the 2025 Reporting Season
Public companies with a calendar year-end have begun filing their annual reports on Form 10-K during the 2025 reporting season at a time of uncertainty driven by rapidly evolving federal government policy developments. We summarize some of the key early trends…
Disclosure Considerations: The Trump Administration’s Executive Order Terminating DEI Preferences
By Publisher
On January 21, 2025, President Trump signed an executive order titled “Ending Illegal Discrimination And Restoring Merit-Based Opportunity”, which relates to the termination of diversity, equity and inclusion preferences and policies in government agencies, while encouraging similar measures…
EDGAR Next: Our New Alert
By David Lynn
In September 2024, the SEC amended the rules and forms that govern how filers access and interact with its EDGAR electronic filing system. These amendments, which the SEC refers to as EDGAR Next, will replace the current password-based access…
Mark Uyeda Designated Acting Chairman of the SEC
By David Lynn
The SEC has announced that Commissioner Mark Uyeda has been designated as Acting Chairman of the Securities and Exchange Commission. He will serve in this role until Paul Atkins is confirmed by the Senate as the 34th Chair of the…