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Our Year-End Tool Kit is Now Available

We are pleased to present our Year-End Tool Kit, which is intended to assist you in preparing for the upcoming annual reporting and proxy season. Our annual Tool Kit includes updated D&O Questionnaires, executive compensation materials and detailed calendars covering reporting and compliance deadlines — all of which are free…

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Holiday Reminder: SEC Closed on October 14

As a reminder, the SEC will be closed, and the EDGAR system will not accept filings, on Monday, October 14.  U.S. stock exchanges will be open for trading on Monday. The SEC’s EDGAR Calendar continues to identify the holiday taking place on Monday as “Columbus Day,” but in recent years…

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SEC Approves Nasdaq Rule Change on Using Reverse Stock Splits to Regain Minimum Bid Price Compliance

On October 7, 2024, the SEC issued an order approving a Nasdaq-proposed change to Listing Rule 5810(c)(3) relating to the exchange’s minimum bid price requirement, reverse stock splits and attempts to regain minimum bid price compliance which trigger non-compliance with another listing requirement. Under Nasdaq Rule 5550(a)(2), Nasdaq-listed companies are…

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