The Securities and Exchange Commission (SEC) adopted rules expanding climate-related disclosure requirements in annual reports and registration statements for U.S. public companies and foreign private issuers. The final...more
3/29/2024
/ Climate Change ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Final Rules ,
Financial Institutions ,
Financial Services Industry ,
Greenhouse Gas Emissions ,
Regulation S-K ,
Regulation S-X ,
Regulatory Requirements ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
On December 14, 2023, the Securities and Exchange Commission (SEC) released a staff report on the definition of accredited investor, examining the current status of the accredited investor pool and discussing several...more
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On October 10, 2023, the Securities and Exchange Commission (SEC) adopted amendments to the rules governing beneficial ownership reporting under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934...more
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On May 3, 2022, the Securities and Exchange Commission (SEC) adopted final rules to modernize disclosure requirements relating to the repurchase by issuers of equity securities that are registered under the...more
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The Securities and Exchange Commission on December 14, 2022, adopted final rules to amend Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (Exchange Act). The amendments apply a cooling-off...more
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The Securities and Exchange Commission (SEC) is proposing to amend certain rules that govern beneficial ownership reporting. The proposed amendments include comprehensive changes to Regulation 13D-G and...more
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For the past 20 years, publicly-traded companies have employed 10b5-1 trading plans that allow company insiders to trade the company’s stock even while in possession of material nonpublic information. The...more
The Securities and Exchange Commission voted 3-2 last week to adopt amendments to the “accredited investor” definition, one of the tests the SEC uses to determine eligibility to invest in unregistered private offerings of...more
9/1/2020
/ 501(c)(3) ,
Accredited Investors ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Regulatory Reform ,
Investment Adviser ,
Qualified Institutional Buyers ,
Regulation D ,
Rule 144A ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
On May 4, 2020, the staff of the Division of Corporation Finance (the Staff) of the United States Securities and Exchange Commission (Commission) released guidance in the form of four frequently asked questions (FAQs) related...more
In an effort to keep up with the monitoring of, and response to, the effects and evolving dynamics of the COVID-19 pandemic, on April 24, 2020, the Securities and Exchange Commission (SEC) announced the formation of an...more
As companies continue to grapple with the impact of the COVID-19 outbreak on their ongoing operations, shareholder meetings have become an area of increasing concern for those companies subject to the reporting requirements...more
The fallout from the 2019 coronavirus disease (COVID-19) outbreak has significantly impacted a number of global industries and financial markets, causing uncertainty and disruptions that continue to evolve....more
3/13/2020
/ Coronavirus/COVID-19 ,
Corporate Governance ,
Disclosure Requirements ,
Filing Deadlines ,
Filing Requirements ,
Form 8-K ,
MD&A Statements ,
Proxy Statements ,
Publicly-Traded Companies ,
Relief Measures ,
Required Forms ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
The Securities and Exchange Commission is providing temporary regulatory relief due to the novel coronavirus outbreak....more
3/12/2020
/ Coronavirus/COVID-19 ,
Corporate Governance ,
Disclosure Requirements ,
Filing Deadlines ,
Filing Requirements ,
Form 10-K ,
Publicly-Traded Companies ,
Relief Measures ,
Required Forms ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
The Securities and Exchange Commission (SEC) recently voted to propose new Rule 163B under the Securities Act of 1933, as amended (the Securities Act), and amendments to Rule 405 (collectively, the Proposed Rule) promulgated...more
3/4/2019
/ Accredited Investors ,
Capital Markets ,
Emerging Growth Companies ,
Gun-Jumping ,
Offerings ,
Prospectus ,
Publicly-Traded Companies ,
Qualified Institutional Buyers ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Regulation