24 Jul, 2024 Nasdaq Proposes to Amend Rule to Limit the Ability of Its Hearings Panel to Give SPACs Additional Time to Complete a Business Combination By Giovanni Caruso On July 15, 2024, the U.S. Securities and Exchange Commission (SEC) published a Nasdaq rule proposal that would amend its rules to...
08 Apr, 2024 SEC Issues a Stay on the Newly Adopted Climate-Related Disclosure Rules By Giovanni Caruso On April 4, 2024, the SEC issued an order staying the newly adopted climate-related disclosure rules (see the fact sheet here) pending...
19 Mar, 2024 The Fifth Circuit Grants an Emergency Stay of the SEC's Newly Adopted Climate-Related Disclosure Rules By Giovanni Caruso Earlier this month, the U.S. Securities and Exchange Commission (SEC) adopted rules related to climate-related disclosures (see the fact...
15 Mar, 2024 SEC Fines an Advisory Firm $950,000 for Failing to Timely File a Schedule 13D By Giovanni Caruso In March 2024, an advisory firm settled charges with the U.S. Securities and Exchange Commission (SEC) that it failed to file a Schedule...
08 Mar, 2024 SEC Charges a Former CEO with Making False Statements Through an Anonymous Social Media Account By Giovanni Caruso Late last month, the U.S. Securities and Exchange Commission (SEC) charged the CEO of a public company with making false and misleading...
12 Feb, 2024 Many are still not aware of the new requirements under the Corporate Transparency Act By Giovanni Caruso A recent Wall Street Journal Article...
31 Jan, 2024 SEC Makes Clear It Is Serious About SPAC IPO Disclosures By Giovanni Caruso A requirement of the special purpose acquisition company (SPAC) structure is that the management team of a SPAC cannot have...
26 Jan, 2024 New SPAC Rules Adopted by the SEC By Giovanni Caruso On January 24, 2024, the U.S. Securities and Exchange Commission (SEC) adopted some of the rules relating to special purpose acquisition...
25 Jan, 2024 SEC to Consider Adopting New SPAC Rules on January 24, 2024 By Giovanni Caruso Twenty-two months after publishing proposed new rules for special purpose acquisition company (SPAC) transactions (click here for the...
15 Dec, 2023 Director of the Division of Corporation Finance publishes Speech relating to Cybersecurity Disclosures By Giovanni Caruso On December 14, 2023, the Director of the Division of Corporate Finance published a speech (speech:...
08 Dec, 2023 PCAOB Issues Enforcement Orders Against China-Based Auditing Firms By Giovanni Caruso Almost a year after receiving complete access to inspect accounting firms in China that are registered with the Public Company Accounting...
01 Dec, 2023 Effectiveness of Share Repurchase Disclosure Modernization Rule Delayed By Giovanni Caruso On November 22, 2023, the U.S. Securities and Exchange Commission (SEC) postponed the effectiveness of the Share Repurchase Disclosure...