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House Passes Legislation Addressing 10b5-1 Plans

House Passes Legislation Addressing 10b5-1 Plans By The House of Representatives has passed the “ The Promoting Transparent Standards for Corporate Insiders Act” (H.R. 1528) by a vote of 355-69. The bill directs the Securities and Exchange Commission to study and report on possible revisions to regulations regarding 10b5-1 trading plans. 10b5-1 plans allow employees of publicly traded companies and others to sell their shares without violating insider trading prohibitions. The bill requires the SEC to revise its regulations consistent with the results of the study. Contact Topics: Topics Related Links Select related link http://thomas.loc.gov/cgi-bin/query/z?c111:H.R.4173: Dodd-Frank Wall Street Reform and Consumer Protection Act

Bysteve quinlivanSteve quinlivanExchange commissionHouse passes legislation addressingPromoting transparent standardsCorporate insidersபரிமாற்றம் தரகுப்ரமோடிஂக் ஒளி புகும் தரநிலைகள்பெருநிறுவன உள்

House Committee Considers Legislation Requiring Disclosure of Political Spending, ES&G Metrics and Diversity

House Committee Considers Legislation Requiring Disclosure of Political Spending, ES&G Metrics and Diversity By April 20, 2021 The House Committee on Financial Services is considering legislation on a number of matters that would affect public companies. An example of some of the matters under consideration include: A bill that would require public companies to submit quarterly reports to both the SEC and investors detailing the amount, date, and nature of the company’s expenditures for political activities. The ESG Disclosure Simplification Act would require issuers to disclose certain environmental, social and governance (ESG) metrics to shareholders, the connection between those metrics and the issuer’s long term business strategy, and the method by which the issuer determines how ESG metrics impact its long term strategy. The bill would also require the U.S. Securities and Exchange Commission (SEC) to adopt rules requiring issuers to disclose ESG metrics in filing

Bysteve quinlivanSteve quinlivanExchange commissionHouse committee on financial servicesCommittee doPolitical spendingHouse committeeFinancial servicesSimplification actபரிமாற்றம் தரகுவீடு குழு ஆன் நிதி சேவைகள்குழு செய்பொலிடிகல் செலவுவீடு குழுநிதி சேவைகள்எளிமைப்படுத்தல் நாடகம்

SEC Risk Alert Notes Deficiencies in ESG Investing Processes

SEC Risk Alert Notes Deficiencies in ESG Investing Processes By April 12, 2021 The SEC Division of Examinations has issued a Risk Alert to highlight observations from recent exams of investment advisers, registered investment companies, and private funds offering ESG products and services. According to the Risk Alert, during examinations of investment advisers, registered investment companies, and private funds engaged in ESG investing, the staff observed some instances of potentially misleading statements regarding ESG investing processes and representations regarding the adherence to global ESG frameworks. The staff noted, despite claims to have formal processes in place for ESG investing, a lack of policies and procedures related to ESG investing; policies and procedures that did not appear to be reasonably designed to prevent violations of law, or that were not implemented; documentation of ESG-related investment decisions that was weak or unclear; and compliance program

Bysteve quinlivanSteve quinlivanDivision of examinationsAlert notes deficienciesRisk alertபிரிவு ஆஃப் தேர்வுகள்ஆபத்து எச்சரிக்கை

SEC Reissues and Updates Guidance for Annual Meetings and COVID-19

SEC Reissues and Updates Guidance for Annual Meetings and COVID-19
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Bysteve quinlivanSteve quinlivanUpdates guidanceAnnual meetingsFull setபுதுப்பிப்புகள் வழிகாட்டல்ஆண்டு கூட்டங்கள்முழு அமை

Corp Fin Director Questions Application of PSLRA to De-SPAC Transactions

Corp Fin Director Questions Application of PSLRA to De-SPAC Transactions By April 9, 2021 John Coates, Acting Director, Division of Corporation Finance, issued a statement questioning the application of the safe harbor for forward looking information in the Private Securities Litigation Reform Act (PSLRA) to a de-SPAC transaction. A de-PAC transaction occurs when a SPAC, which is already public, acquires a private company which results in the private company being publically owned. Mr. Coates takes issue with the often repeated claim by some but not all SPAC enthusiasts that an advantage of SPACs over traditional IPOs is lesser securities law liability exposure for targets and the public company itself. This asserted lesser liability is focused on using projections and other valuation materials of a kind that is not commonly found in conventional IPO prospectuses because such materials are thought to benefit from the safe harbor for forwarding looking information provided

Bysteve quinlivanSteve quinlivanJohn coatesDivision of corporationCorp finCorp fin director questions applicationActing directorCorporation financePrivate securities litigation reform actஜான் பூச்சுகள்பிரிவு ஆஃப் நிறுவனம்கார்ப் துடுப்புநடிப்பு இயக்குனர்நிறுவனம் நிதிப்ரைவேட் பத்திரங்கள் வழக்கு சீர்திருத்தம் நாடகம்