William Wetmore

Akin Gump Strauss Hauer & Feld LLP

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SEC Announces Charges for Schedule 13D, Schedule 13G and Section 16 Reporting Violations

On September 27, 2023, the Securities and Exchange Commission (SEC) issued a press release announcing charges against officers, directors and large investors in public companies for failure to timely make Section 16, Schedule...more

10/6/2023 / Beneficial Owner , Civil Monetary Penalty , Enforcement , Investors , Publicly-Traded Companies , Reporting Requirements , Securities and Exchange Commission (SEC) , Securities Exchange Act of 1934

SEC Marketing Rule: A 30-Day Compliance Plan

The substantive provisions of the new Marketing Rule come into effect for all private fund managers, fund sponsors and other investment advisers registered with the U.S. Securities and Exchange Commission in one month (i.e.,...more

10/13/2022 / Corporate Governance , Disclosure Requirements , Investment Adviser , Marketing , Private Funds , Publicly-Traded Companies , Securities and Exchange Commission (SEC) , Securities Regulation

SEC Approves Changes to Eligibility Requirements for Submitting Shareholder Proposals

The Securities and Exchange Commission (SEC) in a 3-2 vote on Wednesday, September 23, 2020, adopted amendments to the eligibility requirements for submitting shareholder proposals to be included in a public company issuer’s...more

9/29/2020 / Corporate Governance , Eligibility , Proxy Statements , Publicly-Traded Companies , Rule 14a-8 , Securities and Exchange Commission (SEC) , Securities Exchange Act , Shareholder Proposals , Shareholders

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