2/2/2026 3:30:04 PM What Asia’s Market Initiatives and Nasdaq’s New Rules Mean for Asian Companies Eyeing U.S. Listings in 2026 By Jane Tam Thanks to sweeping market reforms, return of international investors and support of the Chinese Securities Regulatory Commission for...
12/22/2025 5:21:22 PM What Directors and Officers of a Foreign Private Issuer Must Do Now to Prepare for 2026 By Jane Tam The Holding Foreign Insiders Accountable Act (HFIAA) included in the U.S. annual defense spending bill was signed into law by President...
7/24/2024 11:58:10 PM 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...
7/12/2024 4:34:39 PM SEC Issues Guidance on Material Cybersecurity Incidents By Giovanni Caruso In a continuing effort to regularize the disclosures provided by companies under new Item 1.05 of Form 8-K, the U.S Securities and...
5/30/2024 12:29:15 AM SEC Director of Corporate Finance Issues Guidance on Disclosure of Cybersecurity Incidents By Giovanni Caruso In late 2023, Form 8-K was amended to include new Item 1.05, which requires public companies to disclose any cybersecurity incident a...
5/21/2024 5:53:51 PM SEC Issues Exemptive Order Providing Additional Time for Former Clients of BF Borgers to File 10-Q By Giovanni Caruso On May 3, 2024, the U.S. Securities and Exchange Commission (SEC) entered an order instituting settled administrative and...
4/8/2024 6:17:35 PM 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...
3/19/2024 4:13:27 PM 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...
3/15/2024 11:10:47 PM 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...
3/8/2024 5:28:39 PM 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...
12/15/2023 6:11:52 PM 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:...
12/1/2023 5:52:20 PM 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...