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Tag: sec

Kids playing in the backseat

LIBOR Transition Gets Real at SEC, OCIE

Kids playing in the backseat

Remember when you were eight years old and your parents warned you to knock it off in the back of the car, and then warned you again, and then warned you a third time that no really, don’t test us, you better stop? Well, in related news, fe...

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Little girl with pigtails in white lying on the floor

Five Procedural Defenses Against Virtual Annual Shareholder Meeting Glitches

Little girl with pigtails in white lying on the floor

When virtual work meetings go wrong, the damage is usually limited. The parent of a rambunctious toddler might suffer some embarrassment, but that’s about it. But for the unprecedented number of public companies that adopted a virtual forma...

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Empty toothpaste and brush, holding foreign companies accountable act

U.S. Regulators Put Squeeze on Chinese Issuers

Empty toothpaste and brush, holding foreign companies accountable act

Unless your head has been buried in the sand for the past few months (and who could blame you?), you will be acutely aware of escalating tensions between the United States and China. While the coronavirus may dominate the headlines, the mos...

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Disclosure Describes Strings Attached to PPP Funds

Disclosure Describes Strings Attached to PPP Funds

Disclosure Describes Strings Attached to PPP Funds

The Paycheck Protection Program provided a welcome lifeline to businesses in the midst of the pandemic. But for companies that have cashed their PPP checks, including many public ones, it also presents serious risks. Just ask them. Issuers...

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Bird on twig with worm

Five Lessons from Early Comment Letters on COVID-19

Bird on twig with worm

It’s still early, but we’re starting to learn more about how the SEC is policing disclosures around the pandemic. Like the disease itself, SEC comment letters take time to surface, and those we are seeing now are from the early days of the...

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