Joseph A. Hall

The SEC’s proposals include cooling-off periods for Rule 10b5-1 trading plans, public disclosure around Rule 10b5-1 trading plans, significant new disclosures for option grants and stoc...

The SEC finalized rules to implement the Holding Foreign Companies Accountable Act. The law was enacted in 2020 in response to the inability of the PCAOB to inspect the audits of China-ba...

The new rule may make it easier for dissidents to persuade shareholders to vote for a few nominees opposed by management in order to “send a message.”

On November 4, 2021, ISS proposed for comment potential U.S. voting policies. Of particular note are proposed policies where ISS will hold directors accountable at U.S. companies with mul...

The SEC signaled increased unwillingness to allow companies to exclude shareholder proposals from proxy statements.

The FSOC Climate Report views “climate-related financial risk as an emerging threat to the financial stability of the United States.” Here are our 10 key takeaways on a critical step ...

The SEC’s renewed request for comments on its clawback rule suggests an aggressive approach to recovery of incentive-based compensation.

A proposed NYSE amendment would eliminate the requirement to include abstentions as “votes cast” against a company’s proposal. Instead, companies would be able to follow their own gov...

An enforcement action against an alternative data provider for misrepresenting its practices offers lessons both for trading firms that use alternative data and public companies that sell...

Changes are on the horizon for a risk management tool widely used by both insiders and companies