Rule 15c2-11 under the Securities Exchange Act of 1934 (Exchange Act) governs when dealers can publish quotations for securities. In September 2020, the U.S. Securities and Exchange Commission (SEC) amended the rule prohibiting them from publishing quotes when current information
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Watch On-Demand | Effective Strategies in Preparing SEC’s Pay versus Performance Disclosure
Watch the recording of our latest webinar, Effective Strategies in Preparing SEC’s Pay versus Performance Disclosure. To gain access, please click here.
Register Now | Society for Corporate Governance: Southeastern Chapter Fall Conference & Annual Meeting
We are looking forward to presenting at the Society for Corporate Governance: Southeastern Chapter Fall Conference & Annual Meeting. Kevin will speak on a panel titled, “SEC Updates: What’s Hot for Corp Fin and Enforcement?” with Dave Brown, Supervisory Archivist
Key Considerations for Developing New SEC Pay versus Performance Disclosure
As proxy preparation season approaches, the Securities and Exchange Commission (SEC)’s new pay versus performance (PVP) disclosure rules will present new and unique challenges for many public companies.
Climate Disclosure Risks Ahead of Pending SEC Rules
I recently provided insight for a Bloomberg Law article on how publicly traded companies can prepare to disclose their climate and environmental risks ahead of impending, new Securities and Exchange Commission (SEC) rules.
ESG Board Oversight Considerations: What Board Committee(s) Should Oversee ESG in the Current Environment?
A wide array of developments have significantly increased the focus by public companies on board and board committee oversight of environmental, social, and governance (ESG) issues in recent years. These developments have included the heightened consideration of institutional investors and
Reverberations Felt from SEC’s SPAC Proposal Even Before Rules Are Adopted
In March 2022, the Securities and Exchange Commission (SEC) proposed sweeping new rules to regulate the disclosures and liabilities associated special purpose acquisition companies (SPACs). The proposing release is available here. The proposals were aimed at enhancing disclosures and
SEC Comment Letters to Companies Related to the Financial Impact of Russia-Ukraine Conflict
I recently offered insight for a Wall Street Journal article on the recent request from the Securities and Exchange Commission (SEC) that companies disclose the financial impact of the Russian-Ukraine conflict. Following the sanctions issued against Russia following its invasion
SEC Proposes Amendment to the Shareholder Proposals Rule (14a-8) and Adopts Amendments to Rules Impacting Proxy Advisory Firms
Last week, the Securities and Exchange Commission (SEC) voted 3-2 to take the following actions:
- Propose new amendments to Rule 14a-8, the shareholder proposal rule.
- Adopt new amendments to the rules regarding proxy advisory firms, such as ISS and Glass
Updates to Human Capital Disclosure Requirements
I recently authored an article highlighting the latest updates in human capital disclosure requirements for public companies since the Securities Exchange Commission (SEC) imposed new requirements in late 2020.
While public companies were historically only required to disclose their gross