Annual Meeting 8-K: Don’t Forget SWOP Determination

As we arrive at the height of the annual meeting season this May, many public companies will be holding say-when-on-pay votes this month in light of the requirement under the Dodd-Frank Act to hold such vote every six years and the fact that many public companies first held this vote in 2011 following the enactment of Dodd-Frank. View Full Post
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Annual Meeting 8-K: Don’t Forget SWOP Determination

As we arrive at the height of the annual meeting season this May, many public companies will be holding say-when-on-pay votes this month in light of the requirement under the Dodd-Frank Act to hold such vote every six years and the fact that many public companies first held this vote in 2011 following the enactment of Dodd-Frank. View Full Post
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Bass, Berry & Sims Securities and Shareholder Litigation Group Publishes 2017: A Look Ahead

By | Securities Law Exchange | April 28, 2017
Securities and Shareholder Litigation 2017: A Look AheadWhile not necessarily as eventful as 2015, 2016 saw courts interpret and build upon major decisions from prior years, and have set up at least one important issue for consideration by the U.S. Supreme Court. 2016 also featured several important legal developments that should continue to impact both private litigation and public enforcement throughout 2017, including: SEC Whistleblower Program. View Full Post
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Bass, Berry & Sims Securities and Shareholder Litigation Group Publishes 2017: A Look Ahead

By | Securities Law Exchange | April 28, 2017
Securities and Shareholder Litigation 2017: A Look AheadWhile not necessarily as eventful as 2015, 2016 saw courts interpret and build upon major decisions from prior years, and have set up at least one important issue for consideration by the U.S. Supreme Court. 2016 also featured several important legal developments that should continue to impact both private litigation and public enforcement throughout 2017, including: SEC Whistleblower Program. View Full Post
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Effective Today – New EGC “Check the Box” On Cover Pages of Most SEC Forms, Including 8-K, S-1/3/4/11 and 10-K/Q

By | Securities Law Exchange | April 12, 2017
Recently, the SEC adopted technical amendments for self-executing provisions of the JOBS Act—mostly relating to EGCs. One important update that impacts virtually all companies is the update related to amending the cover pages for numerous filings. Broadly speaking, the cover page has been revised to include a “check the box” item to indicate that the person filing the report is an “emerging growth company” and an additional box to check as follows: “If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act.” The rule is effective on the date it is published in the Federal Register, which was today (April 12, 2017). View Full Post
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Effective Today – New EGC “Check the Box” On Cover Pages of Most SEC Forms, Including 8-K, S-1/3/4/11 and 10-K/Q

By | Securities Law Exchange | April 12, 2017
Recently, the SEC adopted technical amendments for self-executing provisions of the JOBS Act—mostly relating to EGCs. One important update that impacts virtually all companies is the update related to amending the cover pages for numerous filings. Broadly speaking, the cover page has been revised to include a “check the box” item to indicate that the person filing the report is an “emerging growth company” and an additional box to check as follows: “If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act.” The rule is effective on the date it is published in the Federal Register, which was today (April 12, 2017). View Full Post
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