Companies continue to have their hands full addressing new disclosure mandates against the backdrop of an active SEC enforcement agenda. We address related disclosure implications and oth...
A court rendered a mixed result in the SEC’s SolarWinds litigation. The court declined to dismiss the SEC’s claims that a website “Security Statement” overstated the strength of S...
The need for financial statements is one of the items most likely to become a gating issue in a capital markets transaction. SEC rules require the company issuing securities to present au...
To help navigate what has been an active year of new SEC disclosure mandates, we have prepared an overview of key considerations for preparing your 2023 annual report on Form 10-K.
With a potential government shutdown only a few days away, we provide a number of SEC shutdown practice pointers for public companies and capital markets transactions.
In Slack Technologies, LLC v. Pirani, the Supreme Court confirmed that under Section 11 of the Securities Act of 1933 plaintiffs must “trace” their shares – that is, plead and prove...
Activision Blizzard agreed to pay $35 million to settle SEC charges that it violated disclosure controls and whistleblower protection rules. The settled enforcement action highlights the ...
On the heels of a similar rule change for Nasdaq, the SEC approved rule changes relaxing price range limitations for primary direct listings on the NYSE. The modified rule allows the open...
The SEC approved rule changes relaxing price range limitations for primary direct listings on Nasdaq. Prior to this change, the rules required that the opening auction price be within the...
Nasdaq’s new board diversity rules, approved by the SEC on August 6, will require listed companies to have diverse board members or explain why they do not. In addition, the rules will ...
