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The Ticker

The Ticker

We heard you! Your business is moving fast. You need to assess new developments quickly, determine if they apply to your business, and act accordingly. The Ticker is designed to focus your attention on key developments in the areas of SEC compliance, capital markets, corporate governance, executive compensation and other matters important to public companies and their officers and directors. Below are summaries of recent developments in these areas.

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SEC Adopts Regulation A Amendments

April 10, 2015

As mandated by the JOBS Act, the SEC adopted rules to amend Regulation A to facilitate smaller companies’ access to capital.

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M&A Integration Significant Key to Success

March 27, 2015

Read the survey results from a new Deloitte report based on a survey of over 800 executives.

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Senate Bill Would Allow Companies To Issue More Options Without Disclosure Under Rule 701

March 27, 2015

Senators recently introduced a bill to increase the amount of stock options and other equity compensation that a non-public company may issue. 

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SEC Advisory Committee Recommends Expanding Accredited Investor Status

March 27, 2015

A recommendation was made that the “accredited investor” definition  be expanded to include individuals who meet a “sophistication test, regardless of income or net worth.”

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Chair White Suggests SEC May Act to Limit Fee Shifting Bylaws

March 27, 2015

SEC Chair White addressed the debate over bylaw provisions that shift company litigation expenses to shareholders.

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SEC Chair White Criticizes “Gamesmanship” by Activists and Companies

March 27, 2015

In a speech at Tulane’s Corporate Law Institute, SEC Chair Mary Jo White weighed in on the debate over shareholder activism.

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Supreme Court Decides When Statements of Opinion Can Trigger Section 11 Liability

March 27, 2015

On Tuesday, the U.S. Supreme Court set the standards for when a company’s statements of opinion.

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PwC Reviews SEC Comments on Stock Compensation Disclosure

March 6, 2015

Public companies preparing stock compensation disclosure may wish to understand the areas of SEC focus and concern. 

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Goodyear’s FCPA Violations

March 6, 2015

Recently, Goodyear agreed to pay $16 million to resolve SEC charges that it violated the Foreign Corrupt Practices Act and the books and records and internal control provisions of the federal securities laws.

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Cybersecurity in the SEC’s Crosshairs

March 6, 2015

At the annual “SEC Speaks” conference, SEC regional director David Glockner noted that bringing enforcement actions for poor cybersecurity risk disclosure was “high on [the SEC’s] radar screen.”

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