Searching Content indexed under Security by Anna T. Pinedo ordered by Published Date Descending.
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10 Tips For 10-Ks And Proxy Statements
With preparations shifting into high gear for calendar-year companies that file annual reports on Form 10-K and proxy statements with the US SEC, here are tips to consider when drafting these documents.
United States
9 Jan 2019
SEC Chair Recaps Year And Outlines Priorities
In a speech yesterday, Securities and Exchange Commission Chair Jay Clayton provided an overview of the Commission's significant accomplishments in 2018
United States
12 Dec 2018
Lexis Practice Advisor Practice Note – IPOs, Follow-On Offerings, Road Shows, And Earnings Guidance: FAQs On Publicity, Communications, And Offers
In this Lexis Practice Advisor® Practice Note, we provide answers to questions frequently asked by securities lawyers and their clients
United States
3 Dec 2018
From Non-GAAP Measures to KPIs…
In a recent speech, Commissioner Kara Stein addressed a number of disclosure related concerns, including cyber disclosures and ESG disclosures.
United States
30 Oct 2018
Market Trends 2017/18: U.S. Tariff Policies
Since January 2018, the present U.S. administration has imposed a series of tariff policies (U.S. Tariff Policies) that potentially have a wide range of consequences to domestic and international trade and the capital markets.
United States
29 Oct 2018
Investigative Report Offers Insights On Internal Controls In The Context Of Cybersecurity
Last week, the Securities and Exchange Commission published an investigative report.
United States
25 Oct 2018
SEC Strategic Plan
The Securities and Exchange Commission recently released its Strategic Plan for fiscal years 2018 to 2022. The plan identifies three goals.
United States
17 Oct 2018
Cybersecurity And Board Oversight
In a recent speech, SEC Commissioner Kara Stein commented on the importance of cybersecurity.
United States
4 Oct 2018
Data Regarding Insider Trading Ahead Of Cyber Breach Announcements
Authors Zhaoxin Lin, Travis R.A. Sapp, Jackie Rees Ulmer, and Rahul Parsa examine insider trading data in order to assess the significance of this issue.
United States
27 Sep 2018
Senate Committee Considers Securities-Related Legislation
The Senate Banking Committee recently considered various securities-related bills, including the following ...
United States
25 Jul 2018
Failure To Adequately Disclose A Cyber Breach
Recently, the Securities and Exchange Commission (the "SEC") announced a settlement with a registrant relating to the registrant's failure to disclose the occurrence of a cyber breach.
United States
18 Jun 2018
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