News & Analysis as of

Final Rules Amended Regulation Securities and Exchange Commission (SEC)

Dorsey & Whitney LLP

The SEC Amends Policy on Economic Projections, and Issues Final Rules and Additional Guidance for SPACs and Shell Companies

Dorsey & Whitney LLP on

The SEC on January 24, 2024 adopted final rules amending the disclosure and registration requirements applicable to special purpose acquisition companies (SPACs) and shell companies that register or file reports with the SEC....more

Keating Muething & Klekamp PLL

SEC Cybersecurity Disclosure Final Rule

On July 26, 2023, the Securities and Exchange Commission (“SEC”) adopted final rules, rule amendments and form amendments to expand and standardize disclosures regarding cybersecurity risk management, strategy, governance,...more

Dorsey & Whitney LLP

Implications of SEC Amendment to Insider Trading Safe Harbor for Canadian Issuers

Dorsey & Whitney LLP on

On December 14, 2022, the SEC adopted final rules amending Rule 10b5-1, a safe harbor from liability under the U.S. insider trading rules. The safe harbor permits directors, executive officers and others, including issuers,...more

WilmerHale

SEC Finalizes Rules Implementing Requirements under the HFCAA

WilmerHale on

Yesterday, the SEC adopted amendments to finalize rules implementing the submission and disclosure requirements in the Holding Foreign Companies Accountable Act (HFCAA). These amendments finalize the interim final rules...more

Parker Poe Adams & Bernstein LLP

SEC Continues to Modernize the Disclosure Regime

On November 19, the U.S. Securities and Exchange Commission (SEC) continued its ongoing efforts to streamline and enhance its disclosure regime by adopting amendments to Items 301, 302, and 303 of Regulation S-K. These...more

Goodwin

ISS Publishes 2021 Proxy Voting Guidelines

Goodwin on

In the News. Institutional Shareholder Services (ISS) published its proxy voting guidelines updates for 2021, which include new and updated voting recommendations on federal forum and exclusive forum provisions in companies’...more

Goodwin

Regulation S-K Amendments Effective November 9, 2020

Goodwin on

The SEC approved amendments to Items 101, 103, and 105 of Regulation S-K in late August, as described in a recent client alert, “SEC Adopts Third Round of Disclosure Modernization.” The amendments were published in the...more

Proskauer Rose LLP

SEC Issues Final Rules on Registered Investment Company and Business Development Company Acquisition and Financial Statement...

Proskauer Rose LLP on

The Securities and Exchange Commission (the “SEC”) recently adopted final rules (the “Final Rules”) amending Regulation S-X and related rules and forms in a manner that directly impacts registered investment companies and...more

King & Spalding

REIT Advisor – March 2020

King & Spalding on

On March 2, 2020, the Securities and Exchange Commission (the “SEC”) released its final rule amending the financial disclosure requirements applicable to registered debt offerings that include credit enhancements, including...more

Dechert LLP

CFTC Finalizes Regulation Amendments: Certain Registered and Exempt CPOs and CTAs Need to Take Action

Dechert LLP on

The Commodity Futures Trading Commission published in the Federal Register on December 10, 2019 several amendments to the regulatory framework applicable to certain commodity pool operators (CPOs) and commodity trading...more

Eversheds Sutherland (US) LLP

Two steps closer – FDIC and OCC approve Volcker Rule changes

On August 20, 2019, the Federal Deposit Insurance Corporation (FDIC) and the Office of the Comptroller of the Currency (OCC) approved amendments to the regulations implementing Section 13 of the Bank Holding Company Act,...more

Bracewell LLP

Complying with the SEC's New Requirements for InLine XBRL Tagging of Cover Page Information: Clarification Regarding Exhibit 104

Bracewell LLP on

In March 2019, the Securities and Exchange Commission adopted final rules amending Regulation S-K and related rules and forms to modernize and simplify disclosure requirements for registrants. These amendments follow from the...more

Faegre Drinker Biddle & Reath LLP

SEC Adopts Final Auditor Independence Loan Rule

On June 18, 2019, the Securities and Exchange Commission (“SEC”) adopted final amendments to Rule 2-01(c)(1)(ii)(A) of Regulation S-X (the “Loan Rule”) to clarify the analysis that must be conducted to determine whether an...more

Sheppard Mullin Richter & Hampton LLP

Expansion of Regulation A to Reporting Companies: Increased Alternatives Now Available to Public Companies Seeking to Raise...

On December 19, 2018, the SEC announced that it had adopted final rules that allow reporting companies to rely on the Regulation A exemption from registration for their securities offerings. Until recently, the only way...more

Perkins Coie

SEC Adopts New Disclosure Requirements for Mining Companies

Perkins Coie on

The Securities and Exchange Commission recently adopted amendments to modernize the rules relating to property disclosure requirements for mining registrants, and Industry Guide 7 (Guide 7), under the Securities Act of 1933,...more

Akerman LLP

SEC Amendments To Update And Simplify Disclosure Requirements Become Effective November 5, 2018

Akerman LLP on

On October 4, 2018, the Securities and Exchange Commission (the “Commission”) published the final rule adopting amendments to certain disclosure requirements that have become duplicative, overlapping, or outdated in light of...more

K&L Gates LLP

SEC Adopts Final Rule Implementing Amendments to Regulation S-K, Regulation S-X, and other Securities Laws to Simplify Disclosure...

K&L Gates LLP on

In August 2018, the Securities and Exchange Commission (the “Commission”) adopted amendments to certain disclosure requirements set forth in Regulation S-K, Regulation S-X, and other Commission rules and forms promulgated...more

Womble Bond Dickinson

SEC Adopts Final Rules to Update and Simplify Disclosure Requirements

Womble Bond Dickinson on

The U.S. Securities and Exchange Commission (SEC) has adopted final rules to eliminate redundant, duplicative, overlapping, outdated, or superseded disclosure requirements. These rules, adopted more than two years after the...more

A&O Shearman

SEC Issues Final Rules to Increase Rule 701 Enhanced Disclosure Threshold

A&O Shearman on

Publishes Concept Release to Explore Rule 701 and Form S-8 Reform - The Adopting Release - On June 18, 2018, the Securities and Exchange Commission (SEC) issued final rules to amend Securities Act Rule 701, which...more

Winthrop & Weinstine, P.A.

SEC Approves New Crowdfunding Rules

Fulfilling a promise made more than three and a half years ago, on Friday the SEC approved final rules for Regulation Crowdfunding ("Reg CF"), the last remaining component of the JOBS Act of 2012. Reg CF aims to create a...more

Troutman Pepper

SEC Approves Final Rules for Regulation A+

Troutman Pepper on

On March 25, the U.S. Securities and Exchange Commission (SEC) adopted final rules amending Regulation A to implement the provisions of Section 401 of the Jumpstart Our Business Startups Act (JOBS Act). The new rules confirm...more

Skadden, Arps, Slate, Meagher & Flom LLP

"Structured Finance Alert: SEC Adopts Final Regulation AB II Rules"

On August 27, 2014, the Securities and Exchange Commission ("SEC") adopted final rules ("ABS Final Rules") that significantly revise the existing regulations that govern disclosure requirements, offering processes and...more

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