Search
Searching Content indexed under Compliance by Michael Hermsen ordered by Published Date Descending.
Links to Result pages
 
1  
 
Title
Country
Organisation
Author
Date
1
Follow-Up On Regulation S-K Modernization And Simplification
As described in our Legal Update "SEC Adopts Rules to Modernize and Simplify Disclosure," dated March 27, 2019,1 the US Securities and Exchange Commission (SEC) ...
United States
16 Apr 2019
2
SEC Adopts Dodd-Frank Hedging Disclosure Rule
On December 18, 2018, the US Securities and Exchange Commission (SEC) adopted a final rule requiring companies to disclose their hedging policies and practices for employees,
United States
4 Jan 2019
3
SEC Adopts Inline XBRL Rule
The US Securities and Exchange Commission (SEC) has adopted amendments requiring the use of the Inline eXtensible Business Reporting Language (XBRL) ...
United States
26 Jul 2018
4
Social Media Compliance Guide For Issuers, Broker-Dealers, And Advisers
The use of social media raises many securities law and compliance challenges for issuers, broker-dealers, and investment advisers.
United States
12 Jul 2018
5
SEC Guidance On Non-GAAP Financial Measures
On May 17, 2016, the Division of Corporation Finance of the US SEC issued a dozen new and updated Compliance and Disclosure Interpretations (C&DIs) on the use of non-GAAP financial measures.
United States
13 Sep 2016
6
Three More Things US Audit Committee Members Should Consider in 2015
This Legal Update focuses on three issues that should be considered by Audit Committees of public companies in 2015: (i) Internal Investigation Privilege and Confidentiality, (ii) Expanding PCAOB-Mandated Rules for Audit Committees, and (iii) Continued ISS Corporate Governance Scrutiny of Audit Committee Members.
United States
27 Apr 2015
7
Three Things US Audit Committee Members Should Consider Now
Audit Committees have seen their responsibilities increase dramatically in 2014.
United States
15 Sep 2014
8
First Conflict Minerals Filings Still Due June 2, 2014
On April 29, 2014, Keith Higgins, the director of the Division of Corporation Finance for the US Securities and Exchange Commission (the Division), issued a statement confirming that "the Division expects companies to file any reports required under Rule 13p-1 on or before" June 2, 2014.
United States
7 May 2014
9
SEC Increases Filing Fees
The Securities and Exchange Commission has announced an increase in the filing fees to be paid by public companies and other issuers effective October 1, 2012.
United States
7 Sep 2012
10
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
11
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
12
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
13
SEC’s Division Of Corporation Finance Issues Consolidated and Updated Interpretations On Form 8-K
The Securities and Exchange Commission’s Division of Corporation Finance has posted a consolidated set of interpretations on the filing requirements for Current Reports on Form 8-K, as last updated April 10, 2008.
United States
29 Apr 2008
14
E-Proxy: Understanding The New Delivery Options For The 2008 Proxy Season
The Securities and Exchange Commission has adopted two significant modifications to the proxy rules that could dramatically change the ways that proxy solicitations are conducted.
United States
7 Sep 2007
Links to Result pages
 
1