Richard Friedman

Sheppard Mullin Richter & Hampton LLP

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SEC to Expand Confidential Filing Privileges

The U.S. Securities and Exchange Commission (SEC) has announced significant changes to its confidential filing procedures, aiming to support capital formation and provide greater flexibility for companies planning public...more

3/7/2025 / Capital Formation , Confidential Information , Disclosure Requirements , Filing Requirements , Initial Public Offering (IPO) , Regulatory Requirements , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Regulation , Special Purpose Acquisition Companies (SPACs)

SEC Announces Charges Against Insiders for Reporting Failures and Adopts Amendments to Schedule 13D and 13G Report Filing...

On September 27, 2023, the Securities and Exchange Commission (the “SEC”) announced charges against six officers, directors, and major shareholders of public companies (“insiders”) for failing to timely report and file...more

10/17/2023 / Corporate Governance , Disclosure Requirements , Enforcement Actions , Filing Deadlines , Proposed Amendments , Publicly-Traded Companies , Reporting Requirements , Securities and Exchange Commission (SEC) , Securities Regulation , Securities Violations

House Passes Bill Requiring SEC to Define Mandatory ESG Metrics

On June 16, 2021, the U.S. House of Representatives voted (215-214) to pass the ESG [Environmental, Social and Governance] Disclosure Simplification Act of 2021 (H. R. 1187) (the “Bill”). This legislation would build on the...more

6/23/2021 / Biden Administration , Corporate Governance , Disclosure Requirements , Environmental Social & Governance (ESG) , Investors , New Legislation , Securities and Exchange Commission (SEC)

SEC Going Cyber-Hunting for ESG-Related Misconduct

On March 4, 2021, the Securities and Exchange Commission announced the formation of a Climate and ESG Task Force in the Division of Enforcement (the “Task Force”). The Task Force will be aimed at detecting ESG-related...more

3/9/2021 / Climate Change , Corporate Governance , Corporate Misconduct , Disclosure Requirements , Enforcement Actions , Environmental Social & Governance (ESG) , Investors , Securities and Exchange Commission (SEC)

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