On September 2, 2026, the staff of the Securities and Exchange Commission’s Division of Corporation Finance issued three new Exchange Act Sections 13(d) and 13(g) and Regulation 13D-G Beneficial Ownership Reporting Corporation Finance Interpretations (CFIs) addressing when shareholder engagement will not, standing alone, cause an investor to lose its eligibility…
On August 13, 2026, the SEC filed notice of a new rule proposal by the New York Stock Exchange (NYSE or the Exchange) to extend the transition period for newly public companies to have in place an internal audit function from one year after listing to five years from that…
On July 29, 2026, Nasdaq’s new continued listing requirement requiring companies to maintain at least $5 million in Market Value of Listed Securities (MVLS) was automatically stayed. The rule, which the SEC approved on July 22, would have required companies whose MVLS remained below $5 million for 30 consecutive business…
On July 16, 2026, the SEC proposed new Regulation E-Delivery, which would permit covered entities to use electronic media as the default method for delivery of offering documents, company reports, shareholder communications, and other materials under SEC rules if they elect to do so. Under the proposed rules, no prior affirmative consent…
On July 22, 2026, the SEC approved Nasdaq’s proposal (Release No. 34-105971) to adopt a new continued listing requirement based on Market Value of Listed Securities (“MVLS”). Under new Nasdaq Rules 5450(a)(3) and 5550(a)(6), companies listed on the Nasdaq Global Select Market, Nasdaq Global Market, and Nasdaq Capital Market must…
On July 23, 2026, the SEC announced that it will host a public roundtable on September 17, 2026, to discuss preparations for potential 24-hour trading in the U.S. equity markets. The roundtable will focus on overnight trading infrastructure, market operations and resiliency, and the opportunities and challenges associated with expanding…
On July 7, 2026, SEC Chair Paul Atkins issued a statement on the Commission’s 2026 Regulatory Agenda. In the statement, Atkins said the SEC is focused on investor protection, capital formation, and market efficiency, and that the agenda is intended to reflect current market realities. Several items on the agenda…
We recently published a client alert on the SEC’s proposal to eliminate the longstanding “baby shelf” limitations and significantly expand access to Form S-3 and shelf registration for public companies. While the proposal remains subject to public comment and final SEC action, boards and management teams may want to begin…
The latest issue of the Goodwin Public Company Advisory News Roundup has been posted, covering the period from April 25, 2026 – May 8, 2026. The Roundup highlights the latest developments in SEC and stock exchange regulatory activity, corporate governance and other topics relevant to public company counseling and compliance….
Earlier this week, the SEC’s Division of Investment Management and Division of Corporation Finance recently provided guidance regarding pooled employer plans (PEPs), which are defined contribution retirement plans that permit multiple, unrelated employers to join together in a single plan. With this guidance, the Staff has addressed some of the questions…