CEO and CFO Departures: A Ten Year Review

In response to Section 409 of the Sarbanes-Oxley Act related to “Real Time Issuer Disclosures,” the SEC began requiring all 10-K filers to disclose within four business days any personnel changes affecting the company’s directors and officers. This disclosure requirement became effective on … Continue reading

Emerging Growth Company IPOs

One of the key provisions of the JOBS Act, which was signed into law on April 5, 2012, was the designation of Emerging Growth Companies. An Emerging Growth Company (or EGC) is a company which reports less than $1 billion in total … Continue reading