COVID-19 Viewpoints
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Disclosure Considerations Regarding Operations, Liquidity, and Capital Resources
July 21, 2020 | Advisory | By Anne Bruno
This advisory discusses the SEC’s recent guidance on operations, liquidity, and capital resources disclosure that companies should consider in light of the COVID-19 pandemic.
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Strategies for Adjusting Executive Performance Goals in the Covid-19 Era
July 20, 2020 | Advisory | By Anne Bruno
This advisory summarizes recent proxy advisor guidance on and strategies for adjusting annual performance goals in light of the COVID-19 pandemic.
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SEC Extends Email Delivery of Certain Paper Documents as a Result of Coronavirus (COVID-19)
July 1, 2020 | Advisory | By Daniel T. Kajunski
Read about the SEC’s extension of email delivery of certain paper documents, including certain reports by foreign private issuers, as a result of the coronavirus.
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SEC Extends Guidance on Manual Signatures Required under Rule 302(b) of Regulation S-T as a Result of Coronavirus (COVID-19)
July 1, 2020 | Advisory | By Daniel T. Kajunski
Read about the SEC’s extension of its earlier guidance on manual signatures required under Rule 302(b) of Regulation S-T as a result of the coronavirus.
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Board Oversight of Human Capital Management No Longer a Nice-to-Have for Smaller Public Companies
May 29, 2020 | Advisory | By Anne Bruno
This advisory discusses regulatory and investment community developments related to human capital management and provides suggestions for companies newly focused on HCM.
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NYSE Temporarily Eases Certain Shareholder Approval Requirements as a Result of Coronavirus (COVID-19)
May 19, 2020 | Advisory | By Daniel T. Kajunski
On May 14, 2020, the Securities and Exchange Commission (“SEC”) approved changes to the NYSE Listed Company Manual to provide a temporary exception to the shareholder approval rules for certain capital raising transactions as a result of the coronavirus (“COVID-19”) pandemic.
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Nasdaq Temporarily Eases Certain Shareholder Approval Requirements as a Result of Coronavirus (COVID-19)
May 6, 2020 | Advisory | By Daniel T. Kajunski
Read about the SEC’s approved changes affecting shareholder approval rules for certain capital raising transactions.
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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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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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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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FINRA Says Receipt of PPP Loan May Not Require Form U-4 Disclosure
April 15, 2020 | Blog
In its online forum regarding COVID-19/Coronavirus, FINRA stated that a loan received pursuant to the Paycheck Protection Program (PPP) does not necessarily trigger a disclosure on the Form U-4
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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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Delaware Governor Issues Order Clarifying Notice Requirements for Virtual-Only Shareholder Meetings due to COVID-19
April 7, 2020 | Blog | By Anne Bruno
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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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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