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SEC Issues FAQs Providing Guidance on the Conditional Relief from Filing Deadlines as a Result of Coronavirus (COVID-19)
May 6, 2020 | Advisory | By Daniel T. Kajunski
Read about the SEC’s FAQs, released on May 4, 2020, providing guidance on the agency’s COVID-19 order giving certain issuers more time to file disclosure reports.
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COVID-19 and Poison Pills: The Right Prescription?
April 30, 2020 | Advisory | By Matthew Gardella, Scott M. Stanton, David G. Conway
The coronavirus pandemic continues to have profound effects on the U.S. and global economies. Investor concerns about the impact of COVID-19 and government-imposed restrictions on individuals and businesses have led to unprecedented market volatility. Further material volatility is anticipated. In this environment, publicly traded companies may want to evaluate the adequacy of their corporate defenses to protect their stockholders from such predatory activities.
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SEC Brings Action Against Company and its CEO for Alleged COVID-19 Scam
April 30, 2020 | Blog
In what will likely be the first of many, the SEC brought an action against a company for false and misleading press releases related to the COVID-19 pandemic.
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SEC Provides Guidance on Delivery of Certain Paper Documents as a Result of Coronavirus (COVID-19)
April 27, 2020 | Advisory | By Daniel T. Kajunski
This advisory reviews the SEC Division of Corporation Finance’s statement of April 23, 2020, including what forms it covers and how filers can submit typed signatures on documents submitted by email.
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NYSE Temporarily Extends Compliance Periods for Certain Continued Listing Requirements as a Result of Coronavirus (COVID-19)
April 24, 2020 | Advisory | By Daniel T. Kajunski
This advisory covers the SEC’s April 21, 2020 approval to allow NYSE-listed companies to regain compliance with stockholders equity/market capitalization and minimum price continued listing standards by tolling applicable compliance periods through June 30, 2020 due to COVID-19.
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FINRA Issues Guidance to Small Firms on Annual Assessment and Net Capital due to COVID-19
April 23, 2020 | Blog | By Pete Michaels
Due to the economic impact of COVID-19, especially on smaller broker-dealers, FINRA will allow small firms more time to pay their Annual Assessment (comprised of the Gross Income Assessment and the Personal Assessment).
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Nasdaq Temporarily Extends Compliance Periods for Certain Continued Listing Requirements Due to COVID-19
April 20, 2020 | Advisory | By Daniel T. Kajunski
This article covers SEC changes, made in response to the COVID-19 pandemic, that give Nasdaq listed companies additional time to regain compliance with certain continued listing requirements regarding the bid price and market value of publicly held shares. Nasdaq Temporarily Extends Compliance Periods for Certain Continued Listing Requirements as a Result of Coronavirus (COVID-19)
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State Securities Regulators Renew Warnings of COVID-19 Investment Scams
April 17, 2020 | Blog
Several State Securities Regulators continue to warn investors of investment scams involving COVID-19.
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NYSE Temporarily Eases Certain Continued Listing and Shareholder Approval Requirements as a Result of Coronavirus (COVID-19)
April 13, 2020 | Advisory | By Daniel T. Kajunski
Read about the temporary suspension of NYSE's $15 million minimum market capitalization requirement and shareholder approval rules for certain capital raising transactions.
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FINRA Agrees with SEC Regarding Enforcement of Regulation BI in Light of COVID-19
April 10, 2020 | Blog
SEC Issues C&DIs Providing Guidance on the Conditional Relief from Filing Deadlines as a Result of Coronavirus (COVID-19)
April 9, 2020 | Advisory | By Daniel T. Kajunski
Read about SEC C&DIs that provide guidance on its COVID-19 Order, which gives certain issuers relief from deadlines as a result of the coronavirus pandemic.
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SEC (OCIE) Issues Risk Alerts Concerning Reg. BI
April 9, 2020 | Blog
The SEC’s Office of Compliance Inspection and Examinations (OCIE) issued two risk alerts relating to Regulation Best Interest (Reg. BI).
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Delaware Governor Issues Order Clarifying Notice Requirements for Virtual-Only Shareholder Meetings due to COVID-19
April 7, 2020 | Blog | By Anne Bruno
SEC Says No Reg. BI Extension Despite COVID-19 Concerns
April 6, 2020 | Blog
In a Statement on April 2, the Chairman of the Securities and Exchange Commission (SEC), Jay Clayton, announced that the June 30, 2020 timeline for implementation of Regulation Best Interest (“Reg. BI”) will remain.
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State Securities Regulators Adapt in Response to COVID-19
April 3, 2020 | Blog | By Pete Michaels, Michael Pastore
As financial professionals struggle to adapt during these trying times, securities regulators are also revising their processes and procedures to address the current realities of investor protection in the time of COVID-19 while being fair to the regulated entities.
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Governor Baker Issues Executive Order Temporarily Permitting Massachusetts Public Companies to Hold Virtual-Only Shareholder Meetings
March 31, 2020 | Blog | By Anne Bruno
Read about Massachusetts Governor Baker’s executive order that temporarily permits Mass. Public Companies to Hold Virtual-Only Shareholder Meetings.
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Material Non-Public Information in the Time of COVID-19: SEC Warning on Insider Trading
March 30, 2020 | Blog | By Pete Michaels, Michael Pastore
On March 23, 2020 the SEC issued a statement warning about the risks of insider trading posed by the COVID-19 pandemic.
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Disclosure Guidance for Public Companies Affected By COVID-19
March 26, 2020 | Advisory | By Anne Bruno
Read about the SEC’s guidance on disclosures, including those related to COVID-19 and financial reporting issues, as well as on securities trading in light of the pandemic.
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SEC Provides Guidance on Manual Signatures Required under Rule 302(b) of Regulation S-T as a Result of Coronavirus (COVID-19)
March 26, 2020 | Advisory | By Daniel T. Kajunski
Read about the SEC's new Guidance on Manual Signatures Required under Rule 302(b) of Regulation S-T as a Result of Coronavirus (COVID-19).
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SEC Extends Conditional Relief from Filing Deadlines and Mailing Obligations as a Result of Coronavirus (COVID-19)
March 26, 2020 | Advisory | By Daniel T. Kajunski
Read about the SEC’s extension of conditional relief from filing deadlines and mailing obligations as a result of COVID-19 to July 1, 2020.
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