On May 30 the staff of the Securities and Exchange Commission issued interpretive guidance on the SEC’s new conflict minerals rules. The guidance, which is consistent with the discussio...
Regulation FD, adopted by the SEC in 2000, prohibits “selective disclosure” by requiring public companies to disclose material information through broadly accessible channels. Thirtee...
Rule 10b5-1 plans are back in the news. These plans are widely used by officers and directors of public companies to sell stock according to the parameters of the affirmative defense to i...
On December 4, 2012, the U.S. Securities and Exchange Commission (the “SEC”) published Compliance and Disclosure Interpretations (“CDIs”) related to the new disclosure requirement...
On August 22, 2012, the SEC issued final rules to implement Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, which requires companies that file Exchange Act ...
Many companies voluntarily impose a “blackout period” beginning around the time a quarter ends and continuing through the quarter’s earnings announcement or subsequent 10-Q or 10-K ...
On August 10, 2012, President Obama signed into law the Iran Threat Reduction and Syria Human Rights Act of 2012 (Public Law 112-158 — the “Act”). The Act strengthens existing sanct...
On August 29, 2012, the Securities and Exchange Commission (“SEC”) issued a proposal to permit widespread advertising and other forms of “general solicitation” in private offering...
On August 22, 2012, the SEC staff released Frequently Asked Questions (“FAQs”) about certain JOBS Act provisions that address the conduct of research analysts and the publication of r...
The SEC voted today to implement the Dodd-Frank Act’s reporting requirements relating to “conflict minerals” – cassiterite, columbite-tantalite, gold, wolframite and other mineral...
