New Guidance for “Spring-loaded” Stock Awards - Companies that issue stock compensation to executives right before a material event that has the potential to increase…

New SEC Rule Could De-list Chinese Companies In what is expected to be a tense showdown with the Chinese government, the SEC has just approved…

Missing a “4” May Trigger SEC Attention- Public companies whose quarterly reports show a distinct absence of the number “4” in their financial statements may…

Stock Buybacks Target of Proposed Excise Tax US Senators Sherrod Brown (D-OH) and Ron Wyden (D-OR) have proposed the Stock Buyback Accountability Act which, if…

Moody’s All-in on Nasdaq Board Diversity Mandate- Moody’s Investor Service has issued a report saying that a just-approved Nasdaq rule, requiring its listed companies to…

SEC Moves Forward on Proposed Rules Agenda- In June the SEC disclosed a list of 49 proposed rule changes that were on the Commission’s agenda…

SEC’s Regs Agenda  The SEC has disclosed a list of 49 proposed rule changes that are on the commission’s agenda for 2021, including a series…

Congress Joins SPAC Scrutiny A subcommittee of the House Financial Services Committee (HFSC) has scheduled a hearing that will investigate Special Purpose Acquisition Companies, while…

SEC HITS PAUSE BUTTON ON SPAC FRENZY- After months of scrutiny over the SPAC frenzy, the SEC has issued new guidance that will effectively curb…