SEC Adopts Amendments to Share Repurchase Disclosure

SEC Adopts Amendments to Modernize Rule 10b5-1 Insider Trading Plans and Related Disclosures

SEC Adopts Rules Requiring Compensation Clawback Policies

SEC Adopts Pay-Versus-Performance Disclosure Rules

SEC to Require Electronic Filing of Most Remaining Paper Filings

SEC Proposes Rules on Cybersecurity Governance and Disclosure by Public Companies

SEC proposes shorter 13D and 13G deadlines and other Section 13 changes

SEC's Increased Scrutiny of Climate Risk and ESG Disclosures Likely to Lead to Agency Rulemaking

SEC proposals re: repurchase plan disclosures

SEC proposes new conditions for 10b5-1 plans

SEC Issues "Sample" Climate Change Disclosure Comment Letter

SEC fees to decrease on October 1st

Climate change disclosures

SEC Publishes Sample Comments re: Stock Price Volatility

SEC proposed changes to Form 144 and other aspects of Rule 144

MD&A and Related Amendments

Are COVID Accommodations Perks for SEC Purposes?

Amendments to Shareholder Proposal Rule 14a-8

SEC Registration Fee Set to Decrease 10/1

SEC Proposes Increase for 13F Threshold

More SEC Guidance on COVID-19 Disclosure

Nasdaq Provides Temporary Relief from Shareholder Approval Rules

Nasdaq Provides COVID-19 Relief for Certain Listed Companies: Listing Bid Price and Market Value

SEC COVID-19 Relief: Forms 144

SEC Updates to Guidance on Shareholder Meetings and Annual Meetings

SEC Statement on COVID-19 Disclosure

Additional COVID-19 Relief for EDGAR Applicants

SEC Disclosure Guidance and Filing Deadline Relief Extension Due to COVID-19

SEC Addressing Challenges COVID-19 Poses to EDGAR Applicants

SEC Guidance on Virtual Meetings and Meeting Delays

New SEC Guidance on International IP Risks

EDGAR Will Be Closed BOTH Tuesday, 12/24 and Wednesday, 12/25

SEC Proposes to Update Accredited Investor and Qualified Institutional Buyer Definitions

The Filing Fee FEDWIRE Payment Template Can Help You Avoid Unnecessary Filing Delays

SEC proposes changes to fee payment and disclosure rules

SEC Allows "Test the Waters" Communications for All Companies

Reminder: SEC fees to increase on October 1st

SEC Issues Concept Release on Harmonization of Securities Offering Exemptions

SEC Proposes Amendments to Accelerated and Large Accelerated Filer Definitions

SEC Proposes Changes to REG S-X

Simplification of FAST Act Disclosure Requirements

SEC Issues Concept Release about Quarterly Reporting

SEC Adopts Rules for Disclosure of Hedging Policies

ISS Annual Proxy Voting Updates

SEC amends Rule 701 and solicits comments on ways to modernize offerings pursuant to compensatory arrangements

SEC expands "smaller reporting company" definition

SEC Requires "Inline XBRL"

Form BE-12 – Affirmative BEA Reporting Obligation for Foreign Owned Entities

SEC issues guidance on cybersecurity disclosures

NYSE Rule Change: Material News at End of the Day

Simplification of Regulation S-K - Proposed Rules

Insider Trading and Equifax

SEC fees to increase on October 1st

Confidential IPO Filing System to be Expanded

Auditor Reports to Require Additional Information

Sullivan Advises Select Income REIT in Offering of $350 Million of Unsecured Notes

SEC Announces New Changes to Covers of Periodic Reports and Registration Statements

SEC Adopts T+2 Settlement Cycle for Securities Transactions

SEC Approves Rules to Require Hyperlinks in Exhibit Lists

Sullivan Advises Hospitality Properties Trust in Offering of $600 Million of Unsecured Notes

Change Regarding Mailing of Annual Reports to Stockholders

SEC Proposes "Universal" Proxy Card for Contested Elections

SEC Proposes T+2 for Settling Securities Transactions

SEC proposes hyperlinks for filing exhibits

SEC Raises Fees for Issuers

Chipping away at disclosure overload

SEC Guidance on Reg G: Q&A with Howard Berkenblit

SEC Adopts Amendment to Form 10-K Implementing FAST Act Provision

Small Entity Compliance Guide for Issuers

Changes for Non-GAAP Measures in Earnings Releases

Be Careful What You Say – Or Rather What You Don’t Say – AVEO Pays $4 Million to SEC to Settle Fraud Charges

New SEC fee calculator!

First NASDAQ Listings by Israeli-based Companies in 2016

Newly Codified Exemption for Private Resales of Securities

Plain English Guidance for Crowdfunding

New SEC Rules re: Forms S-1 and F-1

Sullivan Client Advisory: FAST Act Legislation Eases Capital Raising Restrictions And Seeks To Simplify Disclosure Requirements

SEC issues staff report on accredited investor definition

Audit partner names to be made public

Crowdfunding – What You Need To Know

SEC adopts rules permitting crowdfunding

SEC registration fees to decrease on October 1st

Sullivan Client Advisory: New SEC Rule to Require Disclosure of Ratio of CEO Compensation to Median Worker Compensation

Reg D / general solicitation interpretations

SEC adopts rule for pay ratio disclosure

SEC proposes rules requiring companies to adopt clawback policies on executive compensation

SEC solicits public comment on audit committee disclosures

SEC no-review letters to be publicly available

SEC to propose rules re: relationship between executive comp and company performance

Sullivan Client Advisory: SEC Adopts “Regulation A+” Creating a New Category of Exempt Private Placements

Regulation "A+" adopted by SEC

SEC proposes rule re: disclosure in proxy statements of hedging policies

Sullivan 4c

About the Blog

The SEC Pulse provides updates and commentary from our Capital Markets Group on issues affecting publicly traded and privately owned businesses, investment banks and foreign companies who trade or raise capital in the United States, and boards of directors and company officers in securities transactions and corporate governance matters.

The material on this site is for general information only and is not legal advice. No liability is accepted for any loss or damage which may result from reliance on it. Always consult a qualified lawyer about a specific legal problem.

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