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21 Nov 2023, 4:10 am
Here is what the Staff said: Securities Act Rules CDIs Question 239.02 (also repeated as Securities Act Rules CDIs Question 240.17) Question: A well-known seasoned issuer registers securities on an automatic shelf registration statement and elects to defer payment of filing fees pursuant to Rule 456(b). [read post]
26 Oct 2015, 1:07 pm
On October 22, 2015, staff in the Division of Corporation Finance (the “Division”) at the Securities and Exchange Commission (the “Commission”) issued Staff Legal Bulletin 14H (the “Bulletin”). [read post]
15 Feb 2011, 1:30 am
Yesterday, Broc Romanek reported in his blog that the Securities and Exchange Commission staff has posted several new Compliance and Disclosure Interpretations with respect to Say-on-Pay. [read post]
2 Apr 2008, 2:46 pm
That is the message of the Ontario Securities Commission's Staff Notice 51-716 on Environmental Reporting (the 'Staff Notice'), released February 27, 2008. [read post]
2 Apr 2008, 2:46 pm
That is the message of the Ontario Securities Commissionâs Staff Notice 51-716 on Environmental Reporting (the âStaff Noticeâ), released February 27, 2008. [read post]
13 Nov 2017, 6:45 am
On November 1, 2017, the staff of the Securities and Exchange Commission (“SEC”) issued Staff Legal Bulletin No. 14I, which provides additional guidance for public companies (including retailers) seeking to exclude certain shareholder proposals from their proxy materials. [read post]
29 Jul 2011, 6:26 am
The SEC released a staff report identifying common weaknesses seen in sales of structured securities products and describing measures by broker-dealers to better protect retail investors from fraud and abusive sales practices. [read post]
2 Apr 2008, 2:46 pm
That is the message of the Ontario Securities Commission’s Staff Notice 51-716 on Environmental Reporting (the “Staff Notice”), released February 27, 2008. [read post]
23 Feb 2012, 12:46 pm
The staff of the U.S. [read post]
23 Jan 2024, 4:03 am
Corp Fin Director Erik Gerding and Corp Fin Chief Counsel Michael Seaman discussed the latest developments in the Corp Fin yesterday at the Northwestern Securities Regulation Institute. [read post]
24 Apr 2024, 7:05 am
The staff of the Securities and Exchange Commission today published a new report of Registered Fund Statistics, which is based on aggregated data reported by SEC-registered funds on Form N-PORT. [read post]
16 Feb 2024, 7:15 am
The Securities and Exchange Commission’s Office of Credit Ratings published its annual Staff Report to Congress today on Nationally Recognized Statistical Rating Organizations (NRSROs), commonly known as credit rating agencies, to provide findings…Read the Full Press Release Have a securities law question? [read post]
29 Nov 2021, 8:05 am
Securities and Exchange Commission staff today released guidance for companies about how to properly recognize and disclose compensation cost for "spring-loaded awards" made to executives. [read post]
6 Feb 2023, 5:00 am
Jason Howard, J.D.The SEC has published a report summarizing the staff’s examinations of nationally recognized statistical rating organizations (NRSROs) in which the state of competition, transparency, and conflicts of interest among NRSROs are discussed.According to the SEC press release, the staff’s NRSRO examinations during 2022 considered factors, including:Rating surveillance practices;The impact of COVID-19 on commercial real estate credit ratings;Whether business… [read post]
29 Nov 2021, 6:03 am
Securities and Exchange Commission (SEC) published Staff Legal Bulletin No. 14L (SLB 14L), which explicitly rescinds Staff Legal Bulletin Nos. 14I, 14J and 14K (SLB 14I, 14J and 14K) (issued in 2017, 2018 and 2019, respectively), and effectively resets the Staff’s approach to the “ordinary business” and “relevance” exclusions for shareholder proposals to the pre-November 2017 approach. [read post]
24 Sep 2008, 7:35 pm
For example, if the amount of securities sold short on a given day is de minimis for purposes of Form SH, said the staff, then disclosure of the amount is not required. [read post]
27 Jan 2015, 7:44 am
The FTC has published its Internet of Things: Privacy and Security In a Connected World Staff Report. [read post]
14 Mar 2018, 7:46 am
To find out what sort of compensation you can secure, contact Flaxman Law Group at 1-866-352-9626 (1-866-FLAXMAN) for a free consultation to find out whether you have a claim. [read post]
19 Apr 2024, 8:19 am
The staff noted that it identified deficiencies in 17 percent of the comment forms it issued for each of the 2021 and 2022 inspection cycles where the auditor did not perform sufficient procedures to test the accuracy and completeness of IPC or other data and reports, including information produced by service organizations.The report, which includes good practices and other staff reminders, is intended to help auditors improve their audits of public companies and… [read post]
1 May 2008, 5:50 am
“More than 600 staff at HM Revenue and Customs (HMRC) have been disciplined for accessing personal or sensitive data, it has been revealed. [read post]
