News & Analysis as of

Final Rules Cooling-Off Rule

Snell & Wilmer

Corporate Communicator - 2024 Annual Meeting Season

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Clawback Rules. As previously discussed in last Winter’s Corporate Communicator, the Securities and Exchange Commission (“SEC") adopted final rules in October 2022 directing the NYSE and Nasdaq to adopt listing standards that...more

Dechert LLP

FCA issues final rules for marketing cryptoassets in the UK

Dechert LLP on

Financial promotions of qualifying cryptoassets are now within the scope of the UK financial promotion regime. The FCA has published its final policy statement on rules for communicating financial promotions of qualifying...more

Keating Muething & Klekamp PLL

Securities Snapshot: 1st Quarter 2023 - 2022 Final Rules Now in Effect: What You Need to Know

Securities and Exchange Commission rulemaking continued at a brisk pace in the first quarter of 2023 as the Commission implemented several significant reporting and compliance regulations adopted in 2022. Final rules and...more

Sheppard Mullin Richter & Hampton LLP

SEC Adopts Amendments Regarding Insider Trading Plans and Related Disclosures

On December 14, 2022, the Securities and Exchange Commission (the “SEC”) adopted amendments to modernize Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and add new disclosure...more

Troutman Pepper

SEC Adopts Final Rule Amendments for Rule 10b5-1 Trading Plans and Creates New Disclosure Requirements

Troutman Pepper on

Overview On December 14, 2022, the Securities and Exchange Commission (SEC) adopted amendments and certain enhanced disclosure requirements related to Rule 10b5-1 trading plans. The new amendments include...more

Manatt, Phelps & Phillips, LLP

SEC Adopts Final Amendments to Rule 10b5-1 Plans; Expands Related Disclosure Requirements

On December 14, 2022, in its final meeting of the year, the Securities and Exchange Commission adopted final rules relating to Rule 10b5-1 trading plans....more

Mintz - Securities & Capital Markets...

SEC Adopts Amendments to Rule 10b5-1 Insider Trading Arrangements

On December 14, 2022, the Securities and Exchange Commission adopted final rules amending Rule 10b5-1 under the Securities Exchange Act of 1934, as amended, to impose new conditions to the availability of the Rule 10b5-1...more

Cooley LLP

Filling the Gaps: SEC Adopts Final Rules on 10b5-1 Trading Plans and Related Disclosures

Cooley LLP on

The Securities and Exchange Commission adopted final rules that impose new conditions on the availability of the Rule 10b5-1 affirmative defense to insider trading and require enhanced disclosures regarding the adoption,...more

Foley & Lardner LLP

SEC Adopts Final Rules Regarding 10b5-1 Trading Plans and Disclosure of Insider Trading Policies and Related Matters

Foley & Lardner LLP on

On December 14, 2022, the U.S. Securities and Exchange Commission (“SEC”) adopted final rules (1) adding new conditions applicable to Rule 10b5-1 trading plans, (2) requiring disclosure of insider trading policies and...more

Goodwin

SEC Adopts Amendments to Rules Governing Rule 10b5-1 Trading Plans

Goodwin on

On December 14, 2022, the Securities and Exchange Commission unanimously adopted final rules relating to Rule 10b5-1 plans. Properly structured, a Rule 10b5-1 plan provides an affirmative defense to Rule 10b-5 liability for...more

BCLP

SEC adopts big changes to Rule 10b5-1 plan requirements; reaffirms warning about “insider gifting”

BCLP on

On December 14, 2022, the SEC unanimously adopted significant changes to the requirements for Rule 10b5-1 trading plans, one day shy of the anniversary of its proposals, including...more

Ballard Spahr LLP

FTC Increases Exclusionary Limit for Certain Door-to-Door Sales

Ballard Spahr LLP on

The Federal Trade Commission has adopted a final rule amending its Cooling-Off Rule to exclude from the Rule’s coverage door-to-door sales of consumer goods or services with a purchase price of $130 or more that are made at...more

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