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13 May 2010, 5:01 am
Mailed: March-April Issue of The Corporate Counsel The March-April issue of The Corporate Counsel includes pieces on: - Staff Provides Relief on the Need for a No-Action Letter When Suspending Section 15(d) - Reporting Obligation under Rule 12h-3 - Revised Non-GAAP CDIs--Staff Seeks Consistency in Issuer Communications - PIPEs Revisited--The Staff Dials Back the 1/3 of Public Float Guideline - Roth IRA Conversion--The Soup, Nuts And Bolts - California Still Householdless -… [read post]
3 Aug 2010, 5:00 am
Sources: SEC Compliance and Disclosure Interpretations under the Securities Rules Corp Fin Issues a New “Accredited Investor” CDI by Broc Romanek in The Corporate Counsel .net Underwater Mortgages & the New “Accredited Investor” Net Worth Test by William Carleton SEC Staff Clarifies Dodd-Frank Change to Accredited Investor Test in Jim Hamilton’s World of Securities Regulation The Changing Standard for an Accredited Investor – prior post in… [read post]
21 Dec 2016, 5:30 am
The CDI will schedule a public hearing to consider the Filing and once the Notice of Proposed Action and Notice of Public Hearing is issued, the WCIRB will post a copy in the Publications and Filings section of the website (www.wcirb.com). [read post]
4 Feb 2011, 9:23 am
They are Dear CFO letters, SEC Staff Review of Common Financial Reporting Issues facing Smaller Issuers, Best Practices for Working with SEC staff, Financial Reporting Manual, and CDI’s. [read post]
28 Aug 2017, 3:00 am
The latter change adds references to the new CDIs on the same topic issued earlier this month. [read post]
14 Jan 2013, 4:51 am
Mailed: November-December Issue of The Corporate Counsel We recently mailed the November-December issue of The Corporate Counsel that includes pieces on: - Say-on-Pay Arrives for Smaller Reporting Companies: Compliance Tips - D&O Questionnaire Changes - Hedging and Pledging Policies - An Update on Say-on-Pay 2.0 Proxy Litigation - Complying with the New Iran Sanctions Periodic Reporting Disclosure: New Staff CDIs Offer Guidance … [read post]
9 Jun 2010, 11:09 pm
., which provides a variety of post-secondary educational services under various business names, including Vancouver Career College, CDI College, and the Vancouver College of Art and Design (VCC). [read post]
22 Feb 2019, 3:12 am
I could be wrong but I believe non-controversial CDIs go out without Commission input, but more significant guidance – like Staff Legal Bulletins & things like conflict minerals guidance – almost certainly get run past the Commissioners (or at least the Chair) before they are issued by the Staff. [read post]
5 Jul 2012, 9:00 pm
Contrat : Type : CDI Début souhaité : septembre 2012 Rémunération : selon expérience – débutant(e) CEIPIste accepté(e) Merci d’envoyer votre candidature (CV et lettre de motivation) par courrier à Institut Curie Direction des Brevets et Partenariats Industriels Attention : Mme Vanhée-Brossollet 26 rue d’Ulm F-75248 Paris cedex 05 [read post]
9 Mar 2011, 4:04 am
" It's not clear because "last modified" dates have not been affixed to each FAQ (like the Staff's other CDIs have) and there is a note at bottom of this FAQs page that says it was last modified in December. [read post]
23 Aug 2013, 6:06 am
This issue addresses: - The Brave New World - "Private" Offerings Using General Solicitation - The Compensation Committee--New Exchange Listing Requirements Effective July 1, 2013 - The Staff's New Rule 144 Pledging CDI--A Follow-Up on Recourse - Confirmation that Rule 144 One-Year Current Public Information Requirement for Gifts of Control Stock Runs from Donor's Acquisition - Alternatives To Registration Chart By Stanley Keller, Jean Harris and Richard Leisner - D.C. [read post]
22 Apr 2019, 3:00 am
When the disclosure simplification changes went into effect last fall, the Staff issued Exchange Act Forms CDI 105.09 indicating that companies wouldn’t be required to provide this disclosure in their 10-Qs for the 3rd quarter, but that the disclosure would be required in subsequent 10-Q filings – and for most companies, that means the upcoming Q1 filing. [read post]
25 Nov 2013, 4:53 am
Some CDIs are due on bad actors. [read post]
9 Mar 2023, 3:15 am
First, although Securities Act Rules CDI Question 257.07 says that a Form D filing isn’t a condition of the exemption, it is still required by Rule 503. [read post]
11 May 2010, 12:09 pm
Here is the press release: NEWS RELEASE Insurance Commissioner Steve Poizner Announces Examination of Anthem’s Claims-Related Data Full Independent Actuarial Review of Recently-Withdrawn Anthem Filing Also Released Insurance Commissioner Steve Poizner announced that the California Department of Insurance (CDI) had begun an effort to assess the validity of the claims data used by Anthem Blue Cross to justify future rate filings. [read post]
19 Aug 2015, 3:15 am
Here’s a list of the nine panels that will span over four hours of practical instruction on Tuesday: – “Overview: The Final Rules” – “Getting Ready for Compliance: Sampling & Other Data Issues” – “Streamlining Your Compliance Efforts” – “Board Presentations: What To Tell Boards Now” – “Disclosure: Handling the Transition Period” – “Parsing Model Disclosures: US-Only Workforces”… [read post]
7 Aug 2008, 12:45 pm
However, I keep coming back to the recent SEC Staff guidance that Item 5.02(b) is not even triggered when the CEO dies in office (see Interpretation 217.04 of Form 8-K CDIs)! [read post]
23 Apr 2014, 4:13 am
For example, the new CDIs regarding social media that I blogged about yesterday were not placed in this Announcements box… Confidential Treatment Requests: Corp Fin Won’t Directly Inform You If Granted CTRs Had “No Review” Last week, Corp Fin also announced that it won’t bother with calling, emailing or mailing you an order if your confidential treatment request is granted and there is a “no review. [read post]
13 Jul 2016, 3:53 am
” The audio archive is available via a link at the top of the transcript… Don’t forget that the Corp Fin Staff may listen to your earnings call & issue non-GAAP comments – this was happening even before the arrival of the new CDIs. [read post]
20 Jan 2008, 12:00 am
With IZArc you can open CD image files like ISO, BIN, CDI and NRG. [read post]
