18 Dec, 2024 SEC Publishes Updated Fall 2024 Reg-Flex Agenda By Merritt Steele The U.S. Securities and Exchange Commission (SEC) recently published its Fall 2024 Reg-Flex Agenda. The SEC updated the anticipated...
17 Dec, 2024 Trump Victory Boosts Confidence in US Economy By Daniel Brownstone Following Trump's victory, a surge in confidence in the United States economy has been noted by some investors. This sentiment was echoed...
03 Dec, 2024 Your 2024 Proxy Season Debrief from Silicon Valley and Beyond By Wendy Grasso David Bell Over the last five years, stockholder activism has undergone significant transformation, shaped by changing market conditions, regulatory...
03 Dec, 2024 How to Use the DOJ ECCP to Bolster Your Compliance Program By Merritt Steele In September, the U.S. Department of Justice updated its Evaluation of Corporate Compliance Programs (ECCP) guidance, which is the...
27 Nov, 2024 New Structured Data Requirement for Schedules 13D/13G Takes Effect Dec. 18 By Merritt Steele Beginning December 18, Schedules 13D and 13G must be filed using an XML-based language. Filers will have the option of (1) using a...
02 Oct, 2024 SEC Charges Biotech Co. with Misleading IPO Investors By Merritt Steele On September 13, the SEC charged Zymergen Inc., a biotechnology company, with misleading IPO investors about the company’s market...
30 Sep, 2024 SEC Charges Coffee Pod Co. Over Recyclability Claims By Merritt Steele On September 10, the SEC charged Keurig with making inaccurate statements regarding the recyclability of K-Cups. According to the SEC’s...
27 Sep, 2024 SEC Settles Seven Whistleblower Protection Actions By Merritt Steele On September 9, the SEC settled charges against seven public companies for violations of the whistleblower protection rule. According to...
25 Sep, 2024 Form 4 Code J Transactions Under Scrutiny By Merritt Steele The Harvard Business Law Review recently published an article entitled “Insider Trading by Other Means” by an influential research group,...
25 Sep, 2024 Key Considerations for New Insider Trading Disclosures By Merritt Steele The following new SEC insider trading disclosures will be required in companies’ upcoming Forms 10-K (FY 2024) and/or proxy statements:...
23 Sep, 2024 CEO Ousters Hit Record Numbers By Merritt Steele According to research firm Exechange, 74 chief executive officers have been fired or forced out this year, which is the highest number...
23 Sep, 2024 California Legislature Amends Climate Disclosure Laws By Merritt Steele On August 31, the California Assembly and Senate passed SB 219, which provides for the following notable changes to the climate...