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…
As a reminder, public companies with fiscal years ended September 30, 2024 must now disclose whether the company has adopted insider trading policies and procedures that apply to transactions involving the company’s securities by its directors, officers and employees or the company itself in their upcoming annual reports on Form…
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…
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…
In December 2020, the SEC adopted rules under the Dodd-Frank Act requiring that resource extraction issuers report payments made to foreign governments and the U.S. Federal government for the purpose of commercial development of oil, natural gas and minerals. These disclosures must be filed on Form SD. The SEC established…
The SEC has been focused on cybersecurity over the course of this summer, as evidenced by recent guidance from the SEC Staff and ongoing enforcement matters. The top five most significant developments include: In May, Erik Gerding, Director of the SEC’s Division of Corporation Finance, released a statement addressing the…