The SEC will be closed for the holidays on December 24 and 25. In addition, in the event of a government shutdown, the SEC said it would “remain fully operational for a limited number o...
In a recent speech, SEC Chair Jay Clayton highlighted three areas of risk disclosure that the regulator plans to monitor in the upcoming filing season: (1) the impact of Brexit, the Unite...
On October 31, 2018, the SEC adopted final rules modernizing disclosure requirements for companies with material mining operations (excluding oil and gas) as part of its ongoing “disclo...
On Tuesday, the Securities and Exchange Commission issued a Section 21(a) report of investigation emphasizing the importance of assessing the likelihood of cyberattacks when designing int...
On July 24, 2018, the Securities and Exchange Commission proposed amendments to the financial disclosure requirements in SEC-registered offerings that apply to guarantors and issuers of g...
On July 17, the Ninth Circuit issued a decision holding that an overseas company with unsponsored ADRs trading in the United States on the over-the-counter market can be liable for violat...
An initial public offering is a key inflection point for a company, not least because it often triggers the opportunity to review and replace the company’s corporate governance structur...
As part of the SEC’s continuing effort to streamline disclosure for smaller companies, the Securities and Exchange Commission announced on June 28 that it had adopted a final rule to re...
On 8 June 2018 the UK Financial Conduct Authority announced that it is taking forward its proposals to establish a new premium listing category exclusively for sovereign-controlled commer...
The first quarter of 2018 saw continued significant securities-suit filing activity against life sciences companies with more than 10 actions filed, including several filed by some of the...
