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Searching Content indexed under Finance and Banking by Michael Hermsen ordered by Published Date Descending.
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1
Will The Earnings Release Be The New 10-Q?
As far back as 2015, the US Securities and Exchange Commission's (the Commission) Advisory Committee on Smaller and Emerging Companies considered ...
United States
28 Dec 2018
2
Securities And Exchange Commission Amends Rules To Implement Registration Requirements Of JOBS Act And FAST Act
On May 3, 2016, the US SEC adopted amendments to the registration, termination of registration and suspension of reporting requirements of rules under the Securities Exchange Act of 1934.
United States
13 May 2016
3
Regulatory Briefing Book Issue IV: Credit Risk Retention Final Rule
Mayer Brown LLP is pleased to announce the publication of an in-depth review of the final credit risk retention rules, prepared in collaboration with the Structured Finance Industry Group.
United States
12 Dec 2014
4
SEC Decreases Filing Fees
The US Securities and Exchange Commission has announced a decrease in the filing fees to be paid by public companies and other issuers.
United States
4 Sep 2013
5
Jumpstart Our Business Startups Act Makes Significant Changes to Capital Formation, Disclosure and Registration Requirements
The Jumpstart Our Business Startups Act makes significant changes to the capital formation, disclosure and registration requirements applicable to many companies.
United States
16 Apr 2012
6
U.S. Securities and Exchange Commission Adopts Dodd-Frank Mine Safety Rules
Section 1503 of the Dodd-Frank Wall Street Reform and Consumer Protection Act requires all issuers that are operators, or that have a subsidiary that is an operator, of a coal or other mine, as defined under the Federal Mine Safety and Health Act of 1977 (MSHA), to make mine safety disclosures in periodic reports filed with the Securities and Exchange Commission. MSHA defines "operator" to include the operator, supervisor or controller of a mine (along with independent contractors performing ser
United States
31 Jan 2012
7
SEC Issues Guidance on Disclosure Obligations Relating to Cybersecurity Risks and Cyber Incidents
In light of the increased dependence on digital technologies by public companies and the increasing frequency and severity of cyber incidents, the Division of Corporation Finance of the Securities and Exchange Commission (the "SEC") issued guidance on October 13, 2011, regarding the disclosure obligations of public companies relating to cybersecurity risks and cyber incidents.
United States
11 Nov 2011
8
US SEC to Slightly Decrease Filing Fees
On August 31, 2011, the Securities and Exchange Commission announced a slight reduction in the filing fees to be paid by public companies and other issuers effective October 1, 2011.
United States
21 Sep 2011
9
US Securities and Exchange Commission Proposes to Remove References to Credit Ratings from Certain Securities Act and Exchange Act Rules and Forms
On February 9, 2011, the United States Securities and Exchange Commission (SEC), in Release No. 33-9186; 34-63874, proposed removing references to credit ratings from nationally recognized statistical rating agencies (NRSROs) in certain of its rules and forms under the Securities Act of 1933, as amended (the Securities Act), and the Securities Exchange Act of 1034, as amended (the Exchange Act).
United States
25 Feb 2011
10
FASB Revises its Proposal Regarding Disclosure of Loss Contingencies
On July 20, 2010, the Financial Accounting Standards Board (the "FASB") issued an exposure draft that revises its July 2008 exposure draft concerning revisions to the requirements for disclosure of certain loss contingencies set forth in Topic 450 ("Contingencies") of the FASB Accounting Standards Codification ("Topic 450").
United States
21 Sep 2010
11
Corporate Governance and Disclosure Implications of the Dodd-Frank Wall Street Reform and Consumer Protection Act
The Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Act") was signed by President Obama on July 21, 2010.
United States
23 Jul 2010
12
US SEC to Substantially Increase Filing Fees; Certain Transaction Fees Also to Increase
On April 30, 2010, the US Securities and Exchange Commission announced a substantial increase in the filing fees paid by registrants and an increase in the transaction fees paid in connection with purchases or sales of securities on stock exchanges. The SEC is required to adjust these fee rates annually pursuant to the Investor and Capital Markets Fee Relief Act.
United States
13 May 2010
13
Impact of FASB’s Accounting Standards Codification on Filings by U.S. Public Companies
On June 30, 2009, the Financial Accounting Standards Board (the “FASB”) adopted Statement of Financial Accounting Standards No. 168, "The FASB Accounting Standards Codification and the Hierarchy of Generally Accepted Accounting Principles – a replacement of FASB Statement No. 162" (the “FASB Codification”).
United States
8 Sep 2009
14
Disclosures by U.S. Public Companies Regarding Provisions and Allowances for Loan Losses
In August 2009, the staff of the Division of Corporation Finance of the Securities and Exchange Commission (the “Staff”) sent a letter to certain public companies describing a number of disclosure issues to be considered in preparing Management’s Discussion and Analysis of Financial Condition and Results of Operations (“MD&A”).
United States
2 Sep 2009
15
US SEC Filing Fees to Increase Substantially; Certain Transaction Fees to Decrease
On April 30, 2009, the US Securities and Exchange Commission announced a substantial increase in the filing fees paid by registrants and a substantial decrease in the transaction fees paid in connection with purchases or sales of securities on stock exchanges.
United States
8 May 2009
16
SEC´s Notice and Access Delivery Method of Proxy Materials Necessitates Caution Regarding ERISA 404(c) Plans
The Securities and Exchange Commission’s Notice and Access rules (also known as the "E-Proxy" rules), which became effective on January 1, 2009, give all public companies the option to forego the traditional method of mailing proxy materials to shareholders and instead to use the "notice and access model," whereby such materials are primarily made available via the Internet.
United States
25 Feb 2009
17
Preparing For 2009 Proxy And Annual Report Season
As 2008 comes to a close, public companies with calendar year-ends should be planning their proxy statements and annual reports on Form 10-K. Set forth below are some issues to keep in mind when preparing these annual disclosures.
United States
24 Dec 2008
18
NYSE And NASDAQ Amend Director Independence Bright Line Tests
The New York Stock Exchange and the NASDAQ Stock Market have modified several of their bright line tests for determining director independence pursuant to their respective corporate governance listing standards.
United States
18 Aug 2008
19
SEC Proposes To Revise Registration Statement Eligibility Requirements And Various Securities Act Rules To Eliminate Reliance On Credit Ratings
On June 25, 2008, the Securities and Exchange Commission proposed revisions to the eligibility requirements for various registration statement forms that are used by domestic and foreign issuers to register the offer and sale of securities under the Securities Act of 1933.
United States
15 Jul 2008
20
SEC Again Defers Compliance Date For Auditor Attestation Reports By Non-Accelerated Filers
On June 20, 2008, the Securities and Exchange Commission adopted rules that again defer the compliance date for independent auditor attestation reports with respect to the internal control over financial reporting requirements by non-accelerated filers required by Section 404 of the Sarbanes-Oxley Act of 2002 and the SEC's rules thereunder.
United States
10 Jul 2008
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