SEC Adopts Amendment to Shorten Settlement Cycle for Securities Transactions; Medical Device Company Files Reg A+ Offering, Seeks NYSE MKT Listing; and U.S. DOJ Fraud Section Publishes Guide to Evaluating Corporate Compliance Programs

by Jeanne Solomon

This week’s corporate law news roundup includes discussions of the SEC’s amendment of Rule 15c6-1(a) to shorten the settlement cycle for securities transactions to T+2, a Regulation A+ issuer’s plan to list its common stock on the New York Stock Exchange’s small-cap market, and the recent publication by the Fraud Section of the U.S. Department of Justice summarizing key topics and questions in evaluating corporate compliance programs.

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Helpful checklists for public companies

close blank checkboxWith the new year upon us, now is a good time to start thinking about the types of routine annual activities that your public company or voluntary filer may find useful to set in place or consider implementing, if it has not done so already. Toward that end, we’ve put together helpful checklists of typical routine annual activities for NYSE, Nasdaq and NYSE MKT exchange-listed companies, companies with securities quoted on the OTCQX, OTCQB or OTC Pink marketplace and voluntary filers, and their Boards of Directors and Board Committees (particularly their Audit, Compensation and Nominating/Governance Committees), including in connection with their Annual Meeting of Stockholders as applicable. To read them, please check out these links:

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