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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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Securities Group

Please contact a member of the group if you would like further information or have a topic you would like to see in The Ticker.


SEC Adopts Rules to Modernize and Simplify Regulation S-K

April 15, 2019

On March 20, the SEC announced that it had adopted final rules to modernize and simplify certain disclosure requirements in Regulation S-K.

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SEC Issues Guidance on Redaction of Exhibits Containing Immaterial, Competitively Harmful Information

April 15, 2019

On April 1, the SEC issued guidance to assist registrants in complying with the new rules and procedures governing the redaction of exhibits.

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SEC Issues Guidance on Board Diversity Disclosure

April 15, 2019

The SEC recently updated its compliance and disclosure interpretations (CDIs) to provide guidance on what disclosure of directors’ self-identified diversity characteristics is required under Item 401 of Regulation S-K and, with respect to director nominees, under Item 407.

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Proposed Legislation Would Mandate Board and C-Suite Diversity Disclosure

April 15, 2019

The proposed legislation would require any proxy statement relating to the election of directors to include disclosure of certain self-identified diversity characteristics of the company’s directors, director nominees and executive officers.

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Director Diversity and Other Board Matters: A Look at the Data

April 15, 2019

Two new publications by Deloitte and Ernst & Young provide useful data to assist boards in comparing their own composition, views and practices to those of other boards.

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Critiquing Stability in the Boardroom

April 15, 2019

“Corporate boards are very stable. That’s not necessarily a good thing.” So begins an article published late last year in The Wall Street Journal, discussing the findings of the 2018 U.S. Spencer Stuart Board Index.

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SEC Enforcement Chiefs Defend Effectiveness of Enforcement Activity During Fiscal 2018

October 30, 2018

SEC Enforcement Division Co-Directors Stephanie Avakian and Steven Peikin recently gave speeches looking back on fiscal year 2018, which ended on September 30 and was their first full fiscal year in office. Both speeches dispute the notion that fiscal year 2018 saw a decline in the SEC’s enforcement activity. 

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Spotlight on Gender Diversity in the Boardroom Continues to Intensify

October 30, 2018

The movement to increase the number of women in the boardroom has gained momentum since The Ticker published “Spotlight on Gender Diversity in the Boardroom,” in February. 

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Release of Commonsense Principles 2.0

October 30, 2018

On October 18, a group of high profile CEOs and institutional investors released version 2.0 of the Commonsense Principles, a set of corporate governance principles for public companies, their boards and their institutional investors.

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SEC Extends Filing Deadlines for Victims of Hurricane Michael, Warns Investors Against Scams

October 30, 2018

In an October 16 press release, the SEC said that companies hit by Michael will receive an extension on certain filing deadlines.

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