Reynolds Holding

OCTOBER 3, 2023

The actions include public company disclosure and crypto matters, among others. Actions initiated by the SEC and CFTC in July and August 2023 Number of actions, by matter type Public company disclosures Molecular diagnostic company settles misrepresentation claims related to COVID-19 testing products In the Matter of Co-Diagnostics (A.P.

Banking 52

Banking Compliance Marketability Finance 52

Reynolds Holding

OCTOBER 24, 2023

From Congress to law enforcement to the courts, these levels are at, or below, historic lows. [2] 2] Studies also show that only a small percentage of Americans have any significant level of confidence in banks, technology companies, or big business. [3] 1] No sector is immune from this trend. It is simple really.

Compliance 40

Compliance Accounting Firms Start-ups Marketability 40

Reynolds Holding

FEBRUARY 12, 2024

Companies today face more pressure to speak on social and political issues than ever before. Companies may conclude that, when it comes to issues of great importance to their stakeholders, silence is no longer an option. With the constant barrage of issues, the consequences of any course of action can be hard to predict.

Marketability 45

Marketability 45

Appraiser Newsroom

MARCH 2, 2022

Speaking from experience, a well-thought-out social media strategy can help advisors at any level grow a virtual client base. – Crystal McCullough, The Spearhead Group Inc. Financial advisors can use social media to connect on a human level with their clients. – Jared Weitz, United Capital Source Inc.

Finance 52

Finance B2B Compliance Marketability 52

Reynolds Holding

FEBRUARY 6, 2023

In addition, the staff of the Securities and Exchange Commission has recently made written requests to some public companies regarding their disclosure of risk oversight. In this article, we provide background on these developments and identify five steps that directors may want to consider as they develop risk governance frameworks.

Compliance 58

Compliance Technology 58

Reynolds Holding

MAY 16, 2023

Our analysis of these actions indicates the following key points: Environmental disasters have spurred the Task Force’s publicized actions against issuer companies thus far. These high-profile cases have focused on companies with significant, known environmental and social risks.

Start-ups 45

Start-ups Compliance Finance Marketability 45

Benzinga

MAY 11, 2022

Generates first quarter revenue of $358 million, approximately 1% over the prior-year period; chemistry organic revenue grew 3%. Chemistry organic revenue growth, a key performance indicator for Atotech, increased 3% over the first quarter of 2021. Palladium and FX decreased revenue for the quarter by 1% and 4%, respectively.

EBITDA 40

EBITDA Technology Marketability Finance 40

Reynolds Holding

JULY 26, 2023

Cyber risk and the attendant disclosure obligations have been front-and-center for public companies for a long time, and the SEC has underscored the importance of cyber disclosures. 3] We do not need additional regulations. 3] We do not need additional regulations. 3] We do not need additional regulations.

Compliance 40

Compliance Corporate Finance Finance Marketability 40

Reynolds Holding

OCTOBER 12, 2022

3] A critical aspect of this role is an independent auditor’s responsibilities with respect to fraud detection [4] during the financial statement audit, or, in other words, the auditor’s use of the fraud lens. [5] Observations on the Auditor’s Role.

Start-ups 49

Start-ups Technology 49

Reynolds Holding

MARCH 28, 2022

As discussed below, this new insider trading theory – now being called “shadow trading” – significantly raises the danger level for market participants who possess nothing more than information that potentially affects an industry. Matthew Panuwat was a business development executive at Medivation Inc., was imminent. was imminent.

Marketability 83

Marketability Banking Data Analysis Dividends 83

Reynolds Holding

NOVEMBER 12, 2023

On October 30, 2023, the SEC filed a litigated complaint against SolarWinds, a software development company, and Timothy Brown, its chief information security officer (CISO). CISOs must ensure that there is no significant disconnect between what is being communicated publicly and the actual cybersecurity challenges the company faces.

Compliance 40

Compliance Equity Technology 40

Reynolds Holding

NOVEMBER 3, 2022

First: If you fail to register a security as required—or to register appropriately as an investment company—you violate the securities laws, regardless of the “form” or “name” of the securities involved. We charged the company and then-CEO for making false statements about their airplanes’ safety. [8]. Last year, we charged J.P.

Marketability 49

Marketability Banking Compliance 49

Reynolds Holding

NOVEMBER 29, 2023

1] Disgorgement and penalties were the second highest in the SEC’s history at just under $5 billion, while the overall number of actions rose by 3% over FY 2022. The Division maintained its focus on individual accountability for company officers and directors, as well as for gatekeepers, such as auditors and lawyers.

Banking 49

Banking Compliance Marketability Start-ups 49

Reynolds Holding

APRIL 3, 2024

3] SAB 121 directs public companies that safeguard crypto assets for clients to put a liability and corresponding asset on their balance sheet and adjust them as the value of the asset changes. Finally, cultivate mutual respect and frank communication with the public. Think funds during the early days of COVID.

Start-ups 45

Start-ups Banking Marketability Compliance 45

Cooley M&A

MAY 11, 2020

But in a twist on the classic love story, boy and girl never get back together, and although they still might love each other on some level, it’s clear they will never find their way back to each other because of, well, life. Going to the Mat – Level 4 Yoga/Core Power Yoga.” It Was a Mutual Breakup, I Swear – Amherst/Front Yard.”

Finance 40

Finance Start-ups Marketability Debt Financing 40

Reynolds Holding

OCTOBER 5, 2022

Additionally, as reflected in Figure 3, the total settlement value in the first half of 2022 is nearly twice that of this time last year, almost meeting the total value of 2021. Lucia Companies, Inc. Lee Enterprises, Inc. CytoDyn Inc. B. Settlement Trends. Strategic Investment Opportunities LLC v.

Start-ups 72

Start-ups Marketability Equity Compliance 72

Reynolds Holding

MAY 9, 2023

There is reason to believe the SEC’s new universal proxy Rule 14a-19 will result in more stockholder nominees being elected to the boards of public companies. 9] Once the nominating stockholder submits its notice, all stockholders would then have equal access on a timely basis to communications made by the nominating stockholder.

Dividends 45

Dividends Finance Equity Marketability 45

Reynolds Holding

JULY 17, 2023

Last Thursday’s split summary-judgment decision in the case that the Securities and Exchange Commission (SEC) brought against Ripple Labs, Inc. The registration process involves filing of disclosure documents with the SEC for its review and limitations on communications and sales. These were the violations at issue in the case.

Marketability 52

Marketability Compliance Finance Equity 52

Benzinga

APRIL 3, 2023

"During the week of April 3, we will communicate key decisions related to roles and staffing levels across the organization," the company reportedly said in the email. In an email, the Golden Arches operator asked U.S. employees and some global staff to work from home between Monday and Wednesday.

Marketability 52

Marketability Banking 52

Reynolds Holding

JUNE 27, 2023

3] I have been involved with this rule to some degree during the near-entirety of my 17-plus years with the Commission. 14L (“SLB 14L”), [8] issued in November 2021, reversed the staff’s views on paragraphs (i)(5) [9] and (i)(7), [10] which limit a company’s ability to exclude proposals if there are significant social policy issues. [11]

Corporate Finance 45

Corporate Finance Marketability Finance Start-ups 45

Reynolds Holding

NOVEMBER 21, 2022

Look at our off-channel communications sweep. While the examples I’ve discussed involved penalties against companies and firms, holding individuals accountable is also critical to our efforts. And it is more than the prior three years combined. We expect compliance. When 17 major Wall Street firms are fined in excess of a 1.2

Compliance 45

Compliance Marketability 45

Cooley M&A

JANUARY 22, 2021

COVID-19 drove unprecedented levels of collaboration among biopharmaceutical companies seeking to develop a vaccine, leading to an accelerated research and development process that allowed not just one—but two—vaccines to be approved by the FDA in record-breaking time. An Evolving Transactional Landscape.

Marketability 40

Marketability Equity Technology 40

Reynolds Holding

MARCH 27, 2023

The Supreme Court has also heard, or will hear, administrative law cases that will impact securities Several cases pending at the circuit court level may have wide-ranging effects on securities litigation as well. We examine developments in federal securities litigation involving special purpose acquisition companies. Figure 3: C.

Technology 59

Technology Start-ups Compliance Finance 59

Reynolds Holding

MAY 25, 2022

public companies faced an unpredictable risk environment. However, geopolitical instability may be the new normal, and the resulting risks may require companies to consider how these risks affect their business, and for public companies, disclosure of such information to shareholders. Over the past two years, U.S.

Compliance 53

Compliance Start-ups Marketability Corporate Finance 53

Value Scope

SEPTEMBER 24, 2020

there were two inflection points that marked a higher level of discourse. First, on December 17, 2019, SEC Commissioner Hester Peirce went on live television to call for greater oversight of how ESG is used by companies and the investment community. “. Sometimes it was one of the hosts, sometimes it was a guest.

Intangible Assets 130

Intangible Assets Alpha Beta Marketability 130

Reynolds Holding

JULY 29, 2022

This post provides an overview of shareholder proposals submitted to public companies during the 2022 proxy season, [1] including statistics and notable decisions from the staff (the “Staff”) of the Securities and Exchange Commission (the “SEC”) on no-action requests. [2]. 3, 2021) (“SLB 14L”). [3] Proposal Category. vs 2021 [7].

Equity 98

Equity Dividends Banking Finance 98

Reynolds Holding

JUNE 16, 2022

Leading practitioners who advise companies on their disclosure obligations under SEC rules. Instead, we write to express our unanimous view the SEC has clear statutory authority to mandate additional climate-related disclosures for publicly traded companies. Historical SEC Rulemaking on Environmental-Related Disclosure.

Corporate Finance 52

Corporate Finance Finance Compliance Marketability 52