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  • Article

    Negotiating A Term Sheet? Entrepreneurs, Take Note

    Since most of a term sheet's provisions are meant to protect the investors' investment, it's not uncommon for investors and founders to have vastly different expectations of what a deal will look like.
    United StatesCorporate/Commercial Law
    Nutter McClennen & Fish LLP
    Nutter McClennen & Fish LLP
  • Article

    New Yates Developments

    Given the intense industry reaction over the last year to the DOJ's heightened focus on individuals, any clarification on the application of the Yates Memorandum...
    United StatesCorporate/Commercial Law
    McDermott Will & Emery
    McDermott Will & Emery
Article

New York Stock Exchange Clarifies Quantitative Listing Standards For Foreign Private Issuers

On September 20, 2024, the Securities and Exchange Commission (SEC) posted a notice and request for comment on proposed changes to the New York Stock Exchange's (NYSE)...
United StatesCorporate/Commercial Law
Winston Taylor
Winston Taylor
  • Article

    "Onboarding" Key Leaders

    Following recent media coverage, attention is now spreading to onboarding activities involving an incoming CEO and new board chairs.
    United StatesCorporate/Commercial Law
    McDermott Will & Emery
    McDermott Will & Emery
  • Article

    Preparation For 2021 Fiscal Year-End SEC Filings And 2022 Annual Shareholder Meetings

    As public companies embark on the year-end reporting process, they will need to consider, and in some cases take steps to address, a number of significant developments and issues.
    United StatesCorporate/Commercial Law
    Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
    Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
  • Article

    Public Company Advisory News Roundup: SEC Proposes Significant Changes To The Registered Offering Framework

    The latest issue of the Goodwin Public Company Advisory News Roundup has been posted, covering the period from May 11, 2026 – May 21, 2026.
    United StatesCorporate/Commercial Law
    Goodwin Procter LLP
    Goodwin Procter LLP
  • Article

    Put The "Success" In Succession Planning

    Succession planning isn't always the most pressing topic of conversation for business owners, but organizations of all sizes need to have a plan in place.
    United StatesCorporate/Commercial Law
    Brown Smith Wallace
    Brown Smith Wallace
  • Article

    Regulators Focus On Internal Control Over Financial Reporting

    In light of a number of recent developments, public companies should make sure their internal control over financial reporting (ICFR) complies with section 13(b)(2)(B) of the Securities Exchange Act of 1934. Both the SEC and the PCAOB have placed increased focus on ICFR since early 2013, and, in May 2013, the updated framework for the evaluation of internal control was issued by the Committee of Sponsoring Organizations (COSO) of the Treadway Commission.
    United StatesCorporate/Commercial Law
    Morgan Lewis
    Morgan Lewis
  • Article

    Reprimands Of Big Banks Highlight Importance Of Effective Oversight By Boards, Board Chairs And Lead Directors

    The Ticker has previously cited Wells Fargo's unauthorized accounts scandal as highlighting the importance of ethics oversight at the board level.
    United StatesCorporate/Commercial Law
    Fredrikson & Byron, P.A.
    Fredrikson & Byron, P.A.
  • Article

    Republican Senators Press Judicial Nominee To Third Circuit On ESG Issues

    During the Senate Judiciary Committee's hearing on the nomination of Delaware Supreme Court Justice Montgomery-Reeves to the Third Circuit Court of Appeals, certain Republican Senators...
    United StatesCorporate/Commercial Law
    Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
    Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
  • Article

    Response To FinCEN Statement On Ongoing CTA Litigation

    On December 3, 2024, a federal district court in the Eastern District of Texas issued an order granting a nationwide preliminary injunction against enforcement of the Corporate Transparency Act (CTA).
    United StatesCorporate/Commercial Law
    Dickinson Wright PLLC
    Dickinson Wright PLLC
  • Article

    SEC Chairman Issues Statement On Reforming Regulation S-K

    For decades, Regulation S-K has governed non-financial statement disclosure requirements for public company registration statements, periodic reports, and proxy statements.
    United StatesCorporate/Commercial Law
    Arnold & Porter
    Arnold & Porter
  • Article

    SEC Commissioner Crenshaw Voices Additional Support For ESG Disclosures

    Last week, SEC Commissioner Crenshaw--one of the Democratic members of the SEC Commission--addressed the Center for American Progress and the Sierra Club...
    United StatesCorporate/Commercial Law
    Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
    Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
  • Article

    SEC Proposed Hedging Transaction Disclosure Rules

    Much attention has been given to recent U.S. Securities and Exchange Commission (SEC) proposed rulemaking under the Dodd-Frank Wall Street Reform and Consumer Protection Act...
    United StatesCorporate/Commercial Law
    McDermott Will & Emery
    McDermott Will & Emery
  • Article

    SEC Staff Offers Relief Regarding Manual Signature Retention Requirements For Electronic Filings In Light Of COVID-19

    The staff of various SEC divisions, including Corp Fin, has just issued a new Statement Regarding Rule 302(b) of Regulation S-T in Light of COVID-19 Concerns.
    United StatesCorporate/Commercial Law
    Cooley LLP
    Cooley LLP
  • Article

    SEC Updates Proxy Rules And Schedules C&DIs

    The SEC staff will now object to "voluntary" Notices of Exempt Solicitation submitted by holders below the $5 million threshold in Rule 14a-6...
    United StatesCorporate/Commercial Law
    Jones Walker LLP
    Jones Walker LLP
  • Article

    Texas AG Bars Major Bank From Underwriting Municipal Bond Offerings In Texas Due To Alleged Discrimination Against Firearms Industry

    Last week, it was reported that the Texas Attorney General would "not approve any public security" which was purchased or issued by a major bank due to alleged discrimination against the firearms sector.
    United StatesCorporate/Commercial Law
    Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
    Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
  • Article

    The CEO - CFO Dynamic And The Essential Role Of Investor Relations

    Recent data suggests investors now rank a strong CFO above a strong CEO, and 67% of CEOs agree success rests on the CFO's shoulders. Maybe, but the ideal CEO-CFO dynamic hinges on balance.
    United StatesCorporate/Commercial Law
    Riveron
    Riveron
  • Podcast

    The Financial Law Forum – Executive Compensation And ESG: How Compensation Might Be Tied To ESG Metrics (Podcast)

    In this episode of the Financial Law Forum podcast, join host Tracee E. Davis as she engages in a dynamic discussion with experts Jennifer A. Kraft, Seyfarth Partner in Impact/ESG...
    United StatesCorporate/Commercial Law
    Seyfarth Shaw LLP
    Seyfarth Shaw LLP
  • Article

    Three Tips To Improve Development And Accounting Collaboration

    Communication breakdowns between a not-for-profit organization's development and accounting departments can lead to confusion, embarrassment and, worse yet, financial problems.
    United StatesCorporate/Commercial Law
    ORBA
    ORBA
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