Navigating the New Disclosure and Policy Requirements in Response to the SEC’s Clawback Rule

The SEC issued a final rule on October 26, 2022, Listing Standards for Recovery of Erroneously Awarded Compensation (commonly referred to as the “Clawback Rule”), to prevent executive officers from retaining excess compensation following an accounting restatement.

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Assessing SEC Filing Status and Qualifications

Under the Securities Exchange Act of 1934, the SEC classifies publicly traded companies by their filing status (i.

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2023 Financial Statement Filing Deadlines and Staleness Calendar

Planning for a registration statement includes assessing which financial statements are required to be included.

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Zombie SPACs and Blood Baths

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The Future Is Already Here, and CFOs Need to Transform Finance to Survive

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Third Harmonic Bio Closes Upsized Initial Public Offering of Shares of Common Stock Trading on the NASDAQ Global Market

CFGI’s Life Sciences team assisted Third Harmonic Bio (NASDAQ: THRD) with their initial public offering.

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Key Takeaways From the 2022 AICPA & CIMA Conference on Current SEC and PCAOB Developments

Each year at the AICPA & CIMA Conference, prominent members of the SEC, PCAOB, FASB, IASB and others meet to recap the year in regulation and discuss key initiatives and current developments.

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Senti Biosciences Completes Merger With Dynamics Special Purpose Corp.

CFGI’s Capital Markets team assisted Senti Biosciences, Incorporated (“Senti Bio”) with the completion of its merger with Dynamics Special Purpose Corporation (“DYNS”) (Nasdaq: DYNS), a special purpose acquisition company.

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Navigating the Proposed SEC Rules for Climate Disclosures

Background The SEC issued a long-anticipated proposed rule on March 21, 2022, surrounding the potential standardization of requirements for climate-related disclosures in registration statements and annual reports of public filers.

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