Corporate & Financial Weekly Digest

Corporate & Financial Weekly Digest

Tag Archives: Compliance and Disclosure

Acting SEC Chairman Piwowar Makes Remarks at the 2017 SEC Speaks Conference, Including With Respect to “Accredited Investor” Definition

Posted in SEC/Corporate
Acting SEC Chairman Michael S. Piwowar spoke at the SEC Speaks Conference on February 24, offering his remarks on a variety of topics, including the SEC’s disclosure regime and “non-material” disclosure requirements (referring specifically to conflict minerals, pay ratio and resource extraction disclosure requirements) and the assessment of corporate penalties for wrongdoing, among others. Commissioner… Continue Reading

SEC Solicits Comment on Industry Guide 3

Posted in SEC/Corporate
The Securities and Exchange Commission is engaged in a broad-based review of its disclosure regime, including its industry guides (which are disclosure policies applicable to registrants in specified industries). As part of that effort, on March 1, the SEC voted to solicit public input on whether Industry Guide 3 (which relates to statistical disclosure by… Continue Reading

SEC Issues New C&DI Relating to Description of Shareholder Proposals on Proxy Cards

Posted in SEC/Corporate
On March 22, the Securities and Exchange Commission’s Division of Corporation Finance issued a new Compliance and Disclosure Interpretation (C&DI) regarding how a registrant must describe a Rule 14a-8 shareholder proposal on its proxy card to be in compliance with Rule 14a-4 (a)(3) of the Securities and Exchange Act of 1934.… Continue Reading