Photograph of skyscrapers with glass windows from the ground facing up to a blue sky

Tag: Item 103

ocean wave

First Wave of Companies File Under Revised Reg S-K

ocean wave

One of the big stories in corporate governance in 2020 has been the changes to Regulation S-K. In an effort to reduce the compliance burden and make it easier for investors to wade through corporate filings, the SEC pared down some disclosu...

Read More

Issuers Get Proactive in Disclosing Wells Notices

When an issuer gets a “Wells Notice,” it must ask itself two questions. The first is “what’s my lawyer’s phone number?” After all, getting a Wells Notice—a note from the SEC warning the recipient that it may bring charges for securities vio...

Read More