Tag: sec
SubscribeSEC 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 prep and an overreliance on black turtlenecks. Which category do direct listings fall into? T...
Read MoreSEC 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 factors that qualify as “material,” and also make the presentation of risk factors in disclosur...
Read MoreSEC 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 information about issuers’ workforce. The SEC’s recent amendments to Regulation S-K have brought this...
Read MoreIssuers 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 MoreNew 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 firms, which passed at an open meeting of the commission last week. Proxy advisory firms, as ou...
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