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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.


Navigating the Controversy Surrounding Record Stock Buybacks

June 26, 2018

Record-setting stock buybacks following enactment of the Tax Cuts and Jobs Act have riled critics.

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Focus on the Handling of Internal Reports of Cybersecurity

June 26, 2018

Recent SEC activity around cybersecurity has led to increased focus on internal reports of breaches and vulnerabilities and the attendant internal control deficiencies.

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DOJ Announces Opposition to “Piling-On” Penalties

June 26, 2018

In a May speech, Deputy U.S. Attorney General Rod Rosenstein announced the DOJ’s policy to avoid the application of duplicative penalties by multiple regulatory bodies.

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Virtual Shareholder Meetings in 2018: Facts, Figures and Best Practices

May 7, 2018

Virtual shareholder meetings continue to rise in popularity, with 236 companies holding virtual meetings in 2017 and at least 300 expected to do so in 2018.

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In Stunning Rebuke, GE Shareholders Show Auditor Ratification is Not Always a Routine Matter

May 7, 2018

On April 25, shareholders of General Electric Company (GE) approved KPMG LLP as the company’s auditor for another year, but only by a margin of 65 percent “for” to 35 percent “against.” 

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Yahoo! to Pay $35 Million Fine for Failing to Disclose Massive 2014 Cybersecurity Breach

May 7, 2018

The SEC says it will not second-guess good faith judgments about whether, when and how public companies should disclose cybersecurity breaches, but its April 24 announcement of a $35 million settlement shows that sufficiently egregious disclosure failures will be punished. 

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Shareholders Continue to Promote the ‘Universal Proxy’ Idea

May 7, 2018

With the so-called universal proxy rule stalled at the SEC since its proposal in late 2016, some investors have been taking matters into their own hands.

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As IPOs Rise, Where Will Shares Trade?

May 7, 2018

As initial public offerings rebound, the issue of thin trading has arisen.

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Bond Market Moves Spark Regulatory Interest

May 7, 2018

Recent developments in the corporate bond market are sparking regulatory attention in the U.S. and abroad. 

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SEC Still Encouraging Companies to Seek Relief from Unduly Burdensome Financial Reporting Requirements

April 13, 2018

Soon after he was sworn in last year, SEC Chairman Jay Clayton gave a speech in which he encouraged companies to use Rule 3-13 to request relief from unduly burdensome financial reporting requirements.

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