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Latest Developments:
- SEC Proposal: Rule Change for Provision that the Exchange Will Not Review a Compliance Plan Submitted by a Listed Company that is Below Compliance with a Continued Listing Standard if Company Owes Unpaid Fees to Exchange & Will Immediately Commence Suspension and Delisting Procedures if Fees are Not Paid in Full (10/24)
- SEC Proposing Order: Proposed Rule Change to Amend Section 802.01C of NYSE Listed Company Manual to Limit Reverse Stock Splits to Regain Compliance with the Price Criteria in Certain Circumstances (10/24)
- SEC's Adopting Release: Improvements to EDGAR Filer Access and Account Management (9/24)
- SEC's Order Granting Approval of PCAOB QC 1000, Firm's System of Quality Control and Related Amendments to PCAOB Standards, Rules and Forms (9/24)
- SEC Adopting Release: Qualifying Venture Capital Funds Inflation Adjustment (8/24)
- SEC's Order Granting Approval of PCAOB AS 1000, General Responsibilities of the Auditor in Conducting an Audit (8/24)
- SEC Proposing Order: Proposed Rule Change to Modify the Application of Bid Price Compliance Periods (7/24)
- SEC Proposing Order: Amendment of NYSE Listed Company Manual Section 302.00; Exempt Closed-End Funds Registered Under the Investment Company Act of 1940 From the Requirement to Hold Annual Shareholder Meetings
- PCAOB's Proposal: Revise AS 2305 to Designing and Performing Substantive Analytical Procedures, and Amendments to other PCAOB Standards (6/24)
- Adopting Release: Correction to Amendments to Regulation S-P to Enhance Protection of Customer Information (6/24)
- SEC's Adopting Release: Correction to SPACS & Projections (6/24)
- SEC Proposing Order: Proposed Rules on A Firm's System of Quality Control and Related Amendments to PCAOB Standards (6/24)
- Proposal: Change to Rules 5605, 5615 & 5810 to Clarify/Modify Phase-In Schedules for Certain Corporate Governance Requirements and Clarify Applicability of Certain Cure Periods (5/24)
- SEC's Adopting Release: Amendments to Regulation S-P to Enhance Protection of Customer Information (5/24)
- SEC Proposing Order: Amendment of NYSE Listed Company Manual Section 703.12(II) To Expand the Circumstances Under Which Rights May be Listed on the NYSE (5/24)
- SEC Proposing Order: Rule Change Relating to Connectivity, Surveillance and Risk Management Services (5/24)
- SEC Order: Proposed Rule Change to Adopt the FINRA Rule 6500 Series (Securities Lending and Transparency Engine (SLATE™)) (5/24)
- SEC Order: Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend FINRA Rule 6730 (4/24)
- SEC Proposing Order: Amendment to Section 802.01D of the NYSE Listing Manual (Suspension & Delisting of a Listed Company that has Changed its Primary Business Focus) (4/24)
- SEC Order: Proposed Rule Change to Retire the FINRA Rule 10000 Series (Code of Arbitration Procedure) (4/24)
- SEC Proposing Order: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 114(f) (4/24)
- SEC Proposing Order: Amendment of NYSE Listing Manual Rule 235 & Rule 236, Sections 204.12, 703.02, and 703.03 (4/24)
- SEC Proposing Order: Amendment to NYSE Listed Company Manual Section 102.06 - SPAC Can Remain Listed 42 Months from Original Listing Date if Entered into a Definitive Agreement with Respect to a Business Combination Within 3 Yrs of Listing (4/24)
- SEC's Adopting Release; Technical Amendments Share Repurchase Disclosure Amendments (3/24)
- SEC's Adopting Release: Enhancement and Standardization of Climate-Related Disclosures for Investors (3/24)
- SEC/CFTC Joint Adopting Release: Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers (2/24)
- SEC’s Adopting Release: SPACs & Projections (1/24)
- SEC Order: NYSE Amendment No. 1 to NYSE Listing Manual Sections 312.03(b) & 312.04 on Shareholder Approval of Sale of Securities Below Minimum Price
- SEC's Adopting Release: Prohibition against Conflicts of Interest in Securitizations (11/23)
- SEC's Adopting Release: Security-Based Swap Execution & Registration and Regulation of Execution Facilities (11/23)
- SEC's Adopting Release: Securities Loans Reporting (10/23)
- SEC's Adopting Release: Short Position and Short Activity Reporting by Institutional Investment Managers (10/23)
- SEC's Adopting Release: Modernization of Beneficial Ownership Reporting (10/23)
- SEC's Adopting Release: Revision to Privacy Act Rule (9/23)
- SEC's Adopting Release: Investment Company Names (9/23)
- SEC's Proposing Release: Improvements to EDGAR Filer Access and Account Management (9/23)
- SEC's Proposing Release: Reforms to Investment Advisers Operating Through the Internet (7/23)
- SEC's Proposing Release: Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers (7/23)
- SEC's Adopting Release: Cybersecurity Risk Management, Strategy, Governance & Incident Disclosure (7/23)
- SEC's Adopting Release: Money Market Fund Reforms; Amendments to Large Liquidity Fund Advisers' Form PF Reporting Requirements (7/23)
- SEC's Reopening of Comment Period: Position Reporting of Large Security-Based Swap Positions (6/23)
- SEC's Adopting Release: Preventing Fraud in Security-Based Swaps (6/23)
- SEC's Adopting Release: Regulation M Amendments to Remove References to Credit Ratings (6/23)
- SEC's Adopting Release: Share Repurchase Disclosure Amendments (5/23)
- SEC's Reopening of Comment Period: Modernization of Beneficial Ownership Reporting (4/23)
- SEC's Proposing Release: Cybersecurity Risk Management Rule for Broker-Dealers (3/23)
- SEC's Proposing Release: Regulation Systems Compliance and Integrity (3/23)
- SEC's Reopening of Comment Period: Cybersecurity Risk Management for Investment Advisers (3/23)
- SEC's Final Rule: Extending Form 144 EDGAR Filing Hours (2/23)
- SEC's Adopting Release: T+1 Settlement (2/23)
- SEC's Proposing Release: Revision to Privacy Act Rule (2/23)
- SEC's Re-Proposing Release: Prohibition against Conflicts of Interest in Securitizations (1/23)
- SEC's Adopting Release: Amendments to Rule 10b5-1 (12/22)
- SEC's Reopening of Comment Period for Share Repurchase Disclosure Modernization (12/22)
- SEC's Adopting Release: Enhanced Reporting of Proxy Votes by Registered Management Investment Companies (11/22)
- SEC's Re-Opened Comment Period: 11 Commission Rulemaking Releases Due to Technological Error (10/22)
- SEC's Adopting Release: Amendments to Whistleblower Program Rules (8/22)
- SEC's Proposing Release: Form PF Amendments for Crypto Holdings (8/22)
- SEC's Proposing Release: Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8 (7/22)
- SEC's Adopting Release: Amendments to Proxy Rules Governing Proxy Voting Advice (7/22)
- SEC's Adopting Release: Amendments to Electronic Filing Requirements for Investment Advisers and Institutional Investment Managers; Amendments to Form 13F (6/22)
- SEC's Comment Request: Certain Information Providers Acting as Investment Advisers (6/22)
- SEC's Adopting Release: Amendments to Electronic Filing Requirements (6/22)
- SEC's Proposing Release: Disclosures by Investment Advisers & Companies on ESG Investment Practices (5/22)
- SEC's Proposing Release: Investment Company Names (5/22)
- SEC's Extension of Comment Period: Enhancement & Standardization of Climate-Related Disclosures for Investors (5/22)
- CF's Sample Letter: Ukraine Crisis Supply Chain Disclosure (5/22)
- SEC's Proposal: SPACs & Projections (3/22)
- SEC's Re-Proposing Release: Removal of References to Credit Ratings from Regulation M (3/22)
- SEC's Proposing Release: Enhancement and Standardization of Climate-Related Disclosures for Investors (3/22)
- SEC's Proposing Release: Cybersecurity Risk Management, Strategy, Governance & Incident Disclosure (3/22)
- SEC's Proposing Release: Rule 13f-2 Monthly Short Reporting (2/22)
- SEC's Proposing Release: CAT Amendments for "Buy to Cover" (2/22)
- SEC's Re-opened Comment Period: Securities Loans Reporting (2/22)
- SEC's Proposing Release: Modernization of Beneficial Ownership Reporting (2/22)
- SEC's Proposing Release: Amendments to Whistleblower Program Rules (2/22)
- SEC's Proposing Release: Cyber Risk Management for Investment Advisers (2/22)
- SEC's Proposing Release: T+1 Settlement (2/22)
- SEC's Proposing Release: Amendments to Rule 10b5-1 (1/22)
- CF's Sample Letter to China-Based Companies (12/21)
- SEC's Proposing Release: Form SR; Share Repurchase Disclosure Amendments (12/21)
- SEC Proposing Release: Prohibiting Fraud in Security-Based Swaps (12/21)
- SEC's Final Rule: Amendments to Holding Foreign Companies Accountable Act (12/21)
- SEC Staff Accounting Bulletin No. 120, Spring-Loaded Awards (Topic 718) (11/21)
- SEC's Proposing Release: Amendments to Proxy Rules Governing Proxy Voting Advice (11/21)
- Final Rule: Universal Proxy (11/21)
- SEC's Proposing Release: Electronic Submission of Applications for Orders under the Advisers Act and Investment Company Act, Form ADV-NR and Confidential Treatment Requests for Form 13F Filings; Amendments to Form 13F (11/21)
- SEC's Proposing Release: Updating EDGAR Filing Requirements (11/21)
- Corp Fin's Staff Legal Bulletin No. 14L (11/21)
- SEC's Final Rule: Filing Fee Disclosure and Payment Methods Modernization (10/21)
- SEC's Proposing Release: Enhanced Reporting of Proxy Votes by Registered Management Investment Companies (9/21)
- CF Sample Letter: Climate Change Disclosures (9/21)
- SEC's Interim Final Rule: Holding Foreign Companies Accountable Act (3/21)
- CF Sample Letter for Offerings in Times of Extreme Price Volatility
- SEC's Order: NYSE Primary Direct Listings (12/20)
- SEC's Proposing Release: Rule 144 Tacking & Electronic Form 144 (12/20)
- SEC's Adopting Release: Payments by Resource Extraction Issuers (12/20)
- SEC's Proposing Release: Temporary Rule 701/S-8 Changes for Gig Workers (11/20)
- SEC's Proposing Release: Rule 701/S-8 (11/20)
- SEC's Adopting Release: MD&A and Financial Disclosures (11/20)
- SEC's Adopting Release: Electronic Signatures in Regulation S-T Rule 302 (11/20)
- SEC's Adopting Release: Harmonizing Private Offering Exemptions (11/20)
- SEC's Adopting Release: Auditor Independence Amendments (10/20)
- SEC's Proposing Release: "Finder" Exemptions from Broker-Dealer Registration (10/20)
- SEC's Adopting Release: Procedural Requirements/Resubmission Thresholds (9/20)
- SEC's Adopting Release: Whistleblower Program Rules (9/20)
- SEC's Adopting Release: Modernizing OTC (9/20)
- SEC's Adopting Release: Update of Statistical Disclosures for Bank and Savings and Loan Registrants (9/20)
- SEC's Adopting Release: Modernization of Regulation S-K Items 101, 103, and 105 (8/20)
- SEC's Adopting Release: Amended "Accredited Investor" & QIB Def'ns (8/20)
- SEC's Proposing Release: Increasing Form 13F Reporting Threshold (7/20)
- SEC's Adopting Release: "Proxy Advisors" Exemptions (7/20)
- SEC & DOJ's FCPA Resource Guide: 2nd Ed. (7/20)
- CF Disclosure Topic 9A - Coronavirus (6/20)
- SEC's Adopting Release: M&A Financial Disclosures (5/20)
- SEC's Adopting Release: Temporary Amendments to Regulation Crowdfunding (5/20)
- SEC's Adopting Release: Securities Offering Reform for Closed-End Investment Companies (4/20)
- SEC's Modified COVID-19 Exemptive Order (3/20)
- SEC's COVID-19 Exemptive Order (3/20)
- CF Disclosure Topic No. 9 - Coronavirus (3/20)
- SEC Statement re COVID-19 Reg S-T Rule 302(b) Manual Signatures (3/20)
- SEC Guidance for Conducting Annual Meetings in Light of COVID-19 Concerns (3/20)
- SEC's Adopting Release: Amendments to Accelerated Filer & Large Accelerated Filer Definitions (3/20)
- SEC's Proposing Release: Harmonizing Private Offering Exemptions (3/20)
- SEC's Adopting Release: Financial Disclosures of Registered Debt Offerings (3/20)
- SEC's Proposing Release: Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information (1/20)
- SEC's Interpretive Release: Management's Discussion and Analysis of Financial Condition and Results of Operations (1/20)
- SEC's Proposing Release: Auditor Independence Amendments (12/19)
- CF Disclosure Guidance: Topic No. 8 - International IP and Tech Risks (12/19)
- CF Disclosure Guidance: Topic No. 7 - Confidential Treatment Requests (12/19)
- SEC Proposed Rules: Payments by Resource Extraction Companies (12/19)
- SEC's Proposing Release: Amending "Accredited Investor" & QIB Def'ns (12/19)
- SEC's Proposing Release: "Proxy Advisors" Exemptions (11/19)
- SEC's Proposing Release: Procedural Requirements/Resubmission Thresholds (11/19)
- Corp Fin's Staff Legal Bulletin No. 14K (10/19)
- SEC's Adopting Release: "Test the Waters" for All Companies (9/19)
- SEC's Proposing Release: Modernizing OTC (9/19)
- SEC's Interpretive Release: Proxy Rules & Proxy Voting Advice (8/19)
- SEC's Interpretive Release: Proxy Voting Responsibilities (8/19)
- SEC's Proposing Release: Business Description; Legal Proceedings; Risk Factors (8/19)
- Corp Fin Statement: LIBOR Transition Risks (7/19)
- PCAOB Staff Guidance: CAM Insights for Audit Committees (7/19)
- PCAOB Staff Guidance: CAM Insights for Investors (7/19)
- SEC's Concept Release: Harmonizing Private Offering Exemptions (6/19)
- SEC's Adopting Release: Auditor Independence & Debtor-Creditor Relationships (6/19)
- SEC's Proposing Release: Amending Accelerated/Large Accelerated Filer Def'n (5/19)
- SEC's Proposing Release: M&A Financial Disclosures (5/19)
- Corp Fin Guidance: Streamlined Procedure for Confidential Treatment Extensions (4/19)
- Corp Fin Framework: "Investment Contract" Analysis of Digital Assets (4/19)
- Corp Fin Director Statement: Digital Assets Framework (4/19)
- Corp Fin Guidance: Redaction of Exhibits (4/19)
- SEC's Adopting Release: FAST Act Changes to Reg S-K (3/19)
- SEC's Proposing Release: BDCs Offering Reforms (3/19)
- PCAOB Staff Guidance: Determination of CAMs (3/19)
- SEC's Proposing Release: "Test the Waters" for All Companies (2/19)
- SEC Order: Nasdaq Direct Listings (2/19)
- SEC's Adopting Release: Reg A for '34 Act Companies (12/18)
- SEC's Comment Request: Earnings Releases/Quarterly Reports (12/18)
- Corp Fin's Staff Legal Bulletin No. 14J (10/18)
- SEC's Section 21(a) Report: Internal Controls (10/18)
- PCAOB Staff Guidance: Audit Report Changes (8/18)
- SEC's Adopting Release: Fast Act's S-K Simplification (8/18)
- SEC's Proposing Release: Streamlined Financials for Registered Debt (7/18)
- SEC's Adopting Release: Rule 701 Changes (7/18)
- SEC's Concept Release: Rule 701/S-8 (7/18)
- SEC's Proposing Release: Changes to Whistleblowers Program (6/18)
- SEC's Adopting Release: Inline XBRL (6/18)
- SEC's Adopting Release: Smaller Reporting Company Definition (6/18)
- SEC's Interpretive Guidance: Cybersecurity Disclosures (2/18)
- SAB No. 118: Disclosure of Tax Reform Accounting Impacts (12/17)
- PCAOB Staff Report: Audit Report Changes (12/17)
- Corp Fin's Staff Legal Bulletin No. 14I (11/17)
- SEC's Proposing Release: FAST Act's S-K Simplification (10/17)
- Corp Fin FAQs: Draft IPOs Permitted (6/17)
- Corp Fin Announcement: Draft IPOs Permitted (6/17)
- PCAOB's Proposing Release: Auditor's Specialist Use (6/17)
- PCAOB's Proposing Release: Auditor's Accounting Estimates (6/17)
- PCAOB's Adopting Release: Enhanced Auditor's Report (6/17)
- SEC's Adopting Release: Cover Pages w/ EGC Box (3/17)
- SEC's Adopting Release: T+2 Settlement (3/17)
- SEC's Adopting Release: Links to Exhibits (3/17)
- SEC's Proposing Release: Inline XBRL (3/17)
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