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Public Chatter

Public Chatter provides practical guidance—and the latest developments—to those grappling with public company securities law and corporate governance issues, through content developed from an in-house perspective.   

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Upcoming Webcast: "The SEC’s New Cyber Disclosure Rules - What To Do Now"

Join us on Thursday, September 28th (from 2:00-3:00 pm eastern) for a webcast - "The SEC's New Cyber Disclosure Rules - What To Do Now" - to gear up for the new SEC rules regarding cyber disclosure by learning a bevy of practical tips and getting up to speed on the new rules.

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Corporate Building

Corp Fin Issues Five More Rule 10b5-1 CDIs

Last Friday, Corp Fin issued five new 10b5-1 plan CDIs – three under the Exchange Act Rules and two under Regulation S-K – to provide welcome clarifications for a variety of situations, ranging from the new Form 4 checkbox, cooling-off period calculations, overlapping plans that deal with 401(k) plans, and what to disclose about trading arrangements adoption and termination.

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Artificial Intelligence

Artificial Intelligence: SEC Broker and Investment Advisor Concerns

This new Client Update deals with the SEC's concerns over the use of AI in the broker-dealer and investment advisor conflicts context, something that is not within the scope of practice for many of us.

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Corporate Building

A New Guide: "Understanding the SEC Comment Letter Process"

Jason Day has put together this "Understanding the SEC Comment Letter Process" Guide. Check it out! It covers these four topics:

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Workplace Meeting

In-House Corner: Board Presentations by Outside Parties - Part 2

In this blog feature, our in-house readers share tips, anecdotes, and thoughts about topics that arise in their daily practice. This particular batch of thoughts is Part 2 about bringing in outside parties to make a presentation before the board (here's Part 1):

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4 Tips About Board Charitable Giving

Board charity comes in two flavors. Some companies have charitable foundations that directly donate. Many companies donate on a more ad hoc basis. These companies often have charitable giving policies even though it's not required that they have them. Why?

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Diverse people meeting

Is It Difficult to Become Investor-Focused Once You Join the SEC Staff?

I taped a video yesterday with Corp Fin Director Erik Gerding where we talked a bit about Corp Fin's efforts to hire 60 new Staffers in the near term. Over the years, I've been asked a few times whether it's challenging to think from an "investor protection" perspective if you go to work for the SEC.

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How many people typically work in the corporate secretary’s department?

Another in the "newbies" series: It obviously depends on the size and culture of each company, but most larger companies will have a half-dozen or so staffers in the corporate secretary's department, whereas a smaller company likely only has one or two staffers. 

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Workplace Meeting

In-House Corner: Board Presentations by Outside Parties - Part 1

In this blog feature, our in-house readers share tips, anecdotes, and thoughts about topics that arise in their daily practice. This particular batch of thoughts is about bringing in outside parties to make a presentation before the board:

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Six Questions to Ask When Using Stock As Acquisition Consideration

In a perfect world, an in-house legal team would be looped in on potential acquisitions early and often. 

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In-House Corner: Summer Doings

In this blog feature, our in-house readers share tips, anecdotes, and thoughts about topics that arise in their daily practice. This particular batch of thoughts is about enjoying your summer:

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World Cybersecurity

It’s Official: Cybersecurity Disclosure Is Coming This Year

We blogged last week as soon as the SEC adopted its new cyber disclosure rules about seven quick things you needed to know.

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The SEC’s New Cyber Disclosure Rules: New Form 8-Ks Kick Off on December 18th

With the SEC's new cyber disclosure rules being published in the Federal Register on Friday, we can confirm the compliance dates for the new Item 1.05 Form 8-Ks. To comply with new Item 1.05 of Form 8-K and in Form 6-K, all companies other than smaller reporting companies must begin complying on Monday, December 18, 2023 (which officially is also "Bake Cookies Day").

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Auditors: What to Disclose When You Break Up

Recently, I blogged about what to do when you disagree with your auditor. Now I cover what to do when you break up. There are many reasons a company may find itself disengaging with its external auditor.

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Diverse people meeting

Opportunity for Audit Committee Members to Comment on NOCLAR Proposal

Following up on last month's blog regarding the PCAOB's proposal to adopt a new audit standard regarding "Noncompliance with Laws and Regulations" (NOCLAR), we have been hearing that many companies are interested in commenting on the

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