SEC Presses Pause on NYSE’s Direct Listing Plan
Plenty of wonderful fads come out of Silicon Valley. But lots of strange and even dangerous ones do too: soylent diets, dopamine fasting, doomsday pre...
SEC Wants Quality, Not Quantity, in Risk Factor Disclosure
Here’s all you really need to know about this blog post: In a new rule change, the SEC will require public companies to disclose only those risk fac...
SEC Rule on Human Capital Disclosure Leaves Specifics to Issuers
In a year dominated by conversation of furloughs, payroll protection and corporate diversity, it’s no shock that investors are hungry for informatio...
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...
New Rules for Proxy Advisors Divide Issuers, Investors
Is polarization coming to the financial markets? You might think so after hearing the divided reaction to the SEC’s new rules for proxy advisory fir...
Issuers Go DIY on Environmental Regulation
In a movie from a more innocent age, Tom Cruise, playing sports agent Jerry Maguire, pleads with a self-absorbed client: “Help me help you.”
In...