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26 Sep 2018, 2:42 am by Broc Romanek
Corp Fin’s New Edgar Guidance for ABS Recently, Corp Fin issued this set of 12 FAQs for Edgar filings by asset-backed issuers… – Broc Romanek [read post]
24 Sep 2018, 3:51 am by Broc Romanek
We still don’t know the participants – nor specific agenda topics… – Broc Romanek [read post]
18 Sep 2018, 2:45 am by Broc Romanek
Not Many Women Here’s the lowlights from this new report from the CFA Institute based on the new “lead audit engagement partners” disclosure made by companies in their proxies this year (the report covers much more ground than gender of the lead partners): – Only 15% of lead engagement partners of the S&P 500 were female – Only 11% of lead engagement partners of the S&P 100 were female – Percentages of female lead engagement partners by S&P 500 firms… [read post]
25 Jul 2018, 12:59 pm by Robert B. Lamm
  As my estimable friend Broc Romanek noted in a recent posting, over the past dozen years, the SEC has brought an average of one such case per year. [read post]
9 Jul 2018, 3:54 am by Broc Romanek
This article notes that six state treasurers recently wrote a letter to the SEC Chair requesting that a move to mandatory arbitration not be done… – Broc Romanek [read post]
21 Jun 2018, 3:06 am by Broc Romanek
Nothing earth-shattering as it essentially recaps what Chair Clayton has been saying since he took office… – Broc Romanek [read post]
20 Jun 2018, 3:27 am by Broc Romanek
Meanwhile, two editorial pieces – this one by the financial editor of the Times and this one by a senior editor at Bloomberg – has suggested that the Big 4 might need to be broken up… – Broc Romanek [read post]
19 Jun 2018, 2:09 am by Broc Romanek
May-June Issue of “The Corporate Executive” We recently mailed the May-June issue of “The Corporate Executive” – and it includes articles on: – Court Decisions Breathe New Life into Lawsuits over Directors’ Compensation—And What You Need to Do about It – Understanding the New Qualified Equity Grant Deferrals – Elon Musk’s Mega Grant – Rule 701 Disclosure Threshold Finally Increased – Broc Romanek [read post]
18 Jun 2018, 3:00 am by Broc Romanek
Here are my three main blogs on the securities law aspects of this topic: – A Delicate Disclosure Issue: Steve Jobs’ Health – More on Steve Jobs & Disclosure of Health Issues – A Recap of Thoughts on Apple & Illness Disclosures – Broc Romanek [read post]