News & Analysis as of

Rule 701

Faegre Drinker Biddle & Reath LLP

Can a Treating Physician’s Medical Testimony Be “Lay Opinion”? Divided Sixth Circuit Panel Disagrees on Where to Draw the Line

Federal Rules of Evidence 701 and 702 govern the admissibility of lay and expert opinion testimony, respectively, in federal courts. Rule 701(c) helps paint the line between the two, providing that an opinion “based on...more

Goodwin

Private Companies: Time to Consider Repricing Underwater Stock Options?

Goodwin on

​​​​​​​Given recent market trends, many private companies have  seen valuations decline significantly, resulting in an increasing  number of service providers holding “underwater” or “out of  the money” stock options. As a...more

Skadden, Arps, Slate, Meagher & Flom LLP

Chair Gensler’s Insight on the SEC’s New Regulatory Agenda

In prepared remarks on June 23, 2021, Chair Gary Gensler of the Securities and Exchange Commission (SEC) provided additional insight into the commission’s recently announced regulatory agenda and its shift in priorities. His...more

Mintz Edge

"Gig" Workers May Become Eligible to Receive Equity Compensation

Mintz Edge on

The Securities and Exchange Commission (the “SEC”) recently voted to propose temporary rules to permit companies to provide equity compensation to certain workers known as “gig” or “platform” workers....more

Polsinelli

SEC Proposes Changes to Modernize and Simplify Equity Compensation Rules and Registration Obligations

Polsinelli on

On November 24, 2020, the Securities and Exchange Commission (“SEC”) proposed amendments to Rule 701 and Form S-8 (the “Proposals”) under the Securities Act of 1933, as amended (the “Securities Act”)....more

Locke Lord LLP

SEC Proposes Changes to Equity Compensation Rules

Locke Lord LLP on

The Securities and Exchange Commission, on November 24, 2020, proposed changes to the rules and forms that are used for compensatory securities offerings by both private and public companies. If adopted, the changes should...more

Dechert LLP

SEC Adds Its Voice to Those Looking for “Equity”-ble Treatment of Gig Workers – New SEC Proposal Modernizes Rule 701 and Form S-8

Dechert LLP on

The Securities and Exchange Commission (the “SEC”) recently proposed temporary rules that would permit companies to offer equity compensation to “platform workers” who provide services available through the company’s...more

Wilson Sonsini Goodrich & Rosati

SEC Proposes Welcome Changes to Rule 701 and Form S-8

The U.S. Securities and Exchange Commission (SEC) recently proposed for comment amendments to Rule 701 and Form S-8 to address the major changes that have taken place in recent years in companies' compensation practices and...more

K&L Gates LLP

An Early Holiday for Gig Workers: SEC Proposes to Expand Ability of Companies to Grant Equity Compensation to Gig Economy Workers

K&L Gates LLP on

Introduction - On 24 November  2020, the Securities and Exchange Commission (SEC) proposed rules that would meaningfully expand the ability of companies involved in the “gig economy” to grant equity compensation to their...more

K&L Gates LLP

Keeping Up With the Times: SEC Proposes to Modernize Ability of Companies to Grant Equity Compensation

K&L Gates LLP on

Introduction - On 24 November 2020, the Securities and Exchange Commission (SEC) proposed rules that would significantly modernize and simplify the ability of companies to grant equity compensation to their workers under...more

Womble Bond Dickinson

SEC Proposes to Ease Restrictions on Compensatory Offerings to Employees, “Platform Workers” and Other Service Providers

Womble Bond Dickinson on

Last week, the Securities and Exchange Commission (the “SEC”) proposed amendments that would ease restrictions on compensatory securities offerings to employees and other service providers under Rule 701 and Form S-8, both...more

BCLP

The SEC Experiments: Proposed Amendments to Include Certain Gig Workers in Compensatory Offerings under Rule 701 and Form S-8

BCLP on

The SEC recently voted to approve proposed amendments to Rule 701 and Form S-8 governing the offer or sale of securities to employees through compensation programs. The proposed amendments provide for a temporary, five-year...more

Fenwick & West LLP

SEC Proposed Amendments to Rule 701 and Form S-8 and a New Temporary…

Fenwick & West LLP on

The U.S. Securities and Exchange Commission has issued Release No. 33-10891 proposing amendments to Securities Act Rule 701, which provides an exemption from registration for the issuance of compensatory securities by private...more

Mayer Brown Free Writings + Perspectives

Proposed Amendments to Rule 701 and Form S-8; Proposed Temporary Rule for Certain Equity-Based Compensation Grants

On November 24, 2020, the US Securities and Exchange Commission (SEC) proposed for comment amendments to Rule 701 under the Securities Act of 1933, which is the exemption from the registration requirements relied upon most...more

BCLP

SEC Proposes Significant Amendments to Rule 701 and Form S-8 to Better Align with Current Employment Practices

BCLP on

On November 24, 2020, the SEC approved proposed amendments to rules governing the offer or sale of securities to employees through compensation programs. The proposed amendments to Rule 701 and Form S-8 are designed to...more

Cooley LLP

Alert: SEC Proposes Changes to Rule 701 and Form S-8

Cooley LLP on

On November 24, 2020, the U.S. Securities and Exchange Commission (SEC) proposed changes to Rule 701 and Form S-8 under the Securities Act of 1933. While most of the initial attention has focused on the revisions that would...more

Mayer Brown Free Writings + Perspectives

SEC Proposed Amendments to Rule 701 and Form S-8

Some time ago, in 2018, the Securities and Exchange Commission had issued a concept release requesting public comment on possible amendments to Rule 701 and Form S-8.  The concept release followed after the SEC Staff had...more

Cooley LLP

Blog: SEC proposes a temporary trial to allow offerings of compensatory equity to certain gig workers

Cooley LLP on

The term-end crunch continues! Yesterday, the SEC voted, without an open meeting, to issue two separate proposals to amend Rule 701 and Form S-8, both “substantially informed by public comment” received in response to the...more

Mayer Brown Free Writings + Perspectives

Proposed Temporary Amendment to Facilitate Option-Based Awards to Gig Workers

The Securities and Exchange Commission released for comment proposed rules that would apply on a temporary basis to allow for broader reliance on Rule 701 and Form S-8 for stock-based compensation related awards to gig or...more

Hinshaw & Culbertson LLP

SEC Adopts Exempt Offering Rule Changes That Increase Offering Limits and Harmonize Exempt Offerings

Hinshaw & Culbertson LLP on

The Securities and Exchange Commission (SEC) on November 2, 2020, adopted a set of amendments to simplify and improve the exempt offering framework. The amendments are designed to make it easier for issuers to access the...more

Polsinelli

SEC Adopts Rules to Enhance and Improve “Patchwork” Exempt Offering Framework

Polsinelli on

On November 2, 2020, the Securities and Exchange Commission (“SEC”) adopted final rules under the Securities Act of 1933 (the “Securities Act”) expanding a number of private placement exemptions. The amendments were adopted...more

Holland & Hart - The Benefits Dial

Trouble Ahead, Trouble Behind, and You Know Rule 701 Just Crossed My Mind

This week we’re changing the station on the Benefits Dial to remind private companies who are granting securities to their employees of the importance of complying with Rule 701. Rule 701 of the Securities Act of 1933...more

Lowenstein Sandler LLP

COVID-19: Considerations in Stock Option Repricing

Lowenstein Sandler LLP on

In the past weeks, many companies, both public and private, have seen their stock prices and values decline because of the economic disruption caused by COVID-19.  As a result, outstanding stock options may no longer provide...more

Cozen O'Connor

SEC Proposes to Expand Private Offerings

Cozen O'Connor on

On March 4, 2020, the Securities and Exchange Commission (SEC) proposed broad changes to the current private offering framework. Recognizing the growing market for private investments, this is the latest in a series of recent...more

Allen Matkins

Is A Director An Employee? The SEC Has Some Contradictory Answers.

Allen Matkins on

On Monday, I wrote about whether a director might be an employee following California's enactment the A-B-C test for determining status as an employee. California, of course, does not determine employment status for all...more

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