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Author Archives: Stephen M. Honig

A 'kinder, gentler' Section 404?

You can’t tell the players without a scorecard? When it comes to regulation of smaller public companies, you can’t even understand the scorecard. This article traces recent intense activity concerning Section 404 of Sarbanes-Oxley, and discusses other significant SEC suggestions ...

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Building A Board For The Pre-IPO Company

Companies are going public again (or talking about it), and the initial public offering can again be discussed, without embarrassment, in polite company. A business contemplating an IPO needs to address the composition of its board of directors well in ...

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The 2004 Proxy Season Takes Shape

In the October 2003 SEC Watch, I outlined proposed Securities and Exchange Commission amendments requiring proxy disclosure of nominating committee practices, and establishing procedures for shareholder communications with the board of directors. In November 2003, the SEC adopted the proposed ...

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