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Disclosure Best Practices When a CEO Gets Sick

The Ticker

October 29, 2015

Deciding what to say and when to say it involves a delicate balance between investors’ need for disclosure and the CEO’s right to privacy.

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SEC Announces Results of Its Enforcement Efforts

The Ticker

October 29, 2015

According to the report, the SEC filed 807 enforcement actions covering a wide range of misconduct and obtained orders totaling approximately $4.2 billion in disgorgement and penalties.

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Problematic Proxy Access Provisions

The Ticker

October 15, 2015

ISS surveyed public companies and investors about the types of “material restrictions” in proxy access provisions that should result in a recommendation to vote against directors. 

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Overboarding: How Many Directorships Is Too Many?

The Ticker

October 15, 2015

ISS recently asked public companies and institutional investors about the maximum number of boards on which it is appropriate for a director to sit. 

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NYSE Amends Rules for Release of Material News

The Ticker

October 15, 2015

The NYSE recently amended its rules relating to the release of material news by listed companies. 

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Materiality Standard for Disclosures Examined

The Ticker

October 15, 2015

Materiality is a key element of the U.S. public company disclosure framework, but materiality is a subjective legal standard with no “bright line” definition.

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E.U. Court Invalidates “Safe Harbor” Program: Companies Scramble for Plan B

Internet, Technology, Trademark & Advertising Alerts

October 8, 2015

The Court of Justice of the European Union effectively invalidated the E.U. – U.S. “Safe Harbor” program in a decision released on Tuesday.

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SEC Proposes Changes to Administrative Proceedings

The Ticker

October 1, 2015

The SEC recently proposed rules to revamp its procedures for administrative proceedings, allowing defendants to take depositions and providing defendants additional time to respond. The proposals address some of the recent challenges by defendants to the fairness and constitutionality of the SEC administrative forum.

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SEC Highlights Information Relevant to Cybersecurity Preparedness

The Ticker

October 1, 2015

The SEC’s Office of Compliance Inspections and Examinations announced that it will boost its review of cybersecurity measures at registered broker-dealers and investment advisers and has outlined the information that it considers relevant to its assessments. The OCIE staff will focus on key topics including governance and risk assessment, access rights and controls, data loss prevention, vendor management, training and incident response.

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SEC Seeks Comments to Streamline Financial Disclosure Requirements

The Ticker

October 1, 2015

The SEC has initiated a review of Regulation S-X as part of its ongoing review of disclosure effectiveness. At this time, the SEC is seeking comments on the requirements for the form and content of financial disclosures that companies must file with the SEC about acquired businesses, affiliated entities and guarantors.

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