Securities Alert – Recent Amendments That Are Now Applicable to Upcoming Annual Reports On Form 10-K

Now that the amendments adopted last year are applicable, calendar year reporting companies will need to update their disclosures in the Management’s Discussion and Analysis of Financial Condition and Results of Operations (MD&A) section of their upcoming annual reports on Form 10-K

By |2024-06-18T15:59:38-05:00October 11th, 2021|Comments Off on Securities Alert – Recent Amendments That Are Now Applicable to Upcoming Annual Reports On Form 10-K

Securities Alert – NYSE Approves Amendments to Related Party Transaction Requirements

NYSE amends its related party transaction rule for the second time in less than 5 months.

By |2024-06-18T15:59:46-05:00September 23rd, 2021|Comments Off on Securities Alert – NYSE Approves Amendments to Related Party Transaction Requirements

Employment Alert – OSHA Issues New Guidance on Protecting At-Risk Employees from COVID-19

In response to the recent surge in COVID-19 cases across the country, OSHA released updated guidance on protecting workers from the virus.

By |2024-06-18T16:10:13-05:00August 30th, 2021|Comments Off on Employment Alert – OSHA Issues New Guidance on Protecting At-Risk Employees from COVID-19

Securities Alert – NASDAQ Board Diversity Proposal Approved By the SEC

On August 6, 2021, the SEC approved Nasdaq’s board diversity proposal set forth in Rules 5605(f) and 5606 of the Nasdaq Listing Rules.

By |2024-06-18T16:00:13-05:00August 30th, 2021|Comments Off on Securities Alert – NASDAQ Board Diversity Proposal Approved By the SEC

Tax Client Alert – Internal Revenue Service Updates Qualified Retirement Plan Compliance Procedures

The IRS has issued important new guidance to update its Employee Plans Compliance Resolution System.

By |2024-06-18T16:00:22-05:00August 30th, 2021|Comments Off on Tax Client Alert – Internal Revenue Service Updates Qualified Retirement Plan Compliance Procedures

Securities Client Alert – NYSE Approves Amendments to Related Party Transaction Requirements

The SEC approved amendments to the NYSE’s Listed Company Manual, revising the requirements for related party transactions in Section 314.00.

By |2024-06-18T16:09:19-05:00July 20th, 2021|Comments Off on Securities Client Alert – NYSE Approves Amendments to Related Party Transaction Requirements

Securities Alert – Rule Changes the SEC is Considering, Including Revisiting Recently Amended Rules

The SEC Chair has identified several areas of focus (10b5-1 plans, climate change, human capital management and cybersecurity risk governance among others), while also asking the SEC staff to revisit a number of recently amended rules (proxy voting advice, the integration framework for exempt offerings, the accredited investor definition and resource extraction rules).

By |2024-06-18T16:01:28-05:00July 20th, 2021|Comments Off on Securities Alert – Rule Changes the SEC is Considering, Including Revisiting Recently Amended Rules

Securities Alert – New Securities Rules Take Effect to Improve Exempt Offerings

Amendments recently took effect to “address gaps and complexities in the exempt offering framework that impede access to capital for issuers and access to investment opportunities for investors.”

By |2024-06-18T16:02:07-05:00July 20th, 2021|Comments Off on Securities Alert – New Securities Rules Take Effect to Improve Exempt Offerings
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