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Securities Exchange Act › Filing Deadlines

The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +
The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange Commission (SEC), which is the primary regulatory agency enforcing federal securities laws. less -
Skadden, Arps, Slate, Meagher & Flom LLP

New Schedule 13G Accelerated Filing Deadlines Effective September 30, 2024

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As we noted in prior client alerts (available here and here), in 2023 the Securities and Exchange Commission (SEC) adopted amendments to its beneficial ownership rules. The amended rules include accelerated filing deadlines...more

WilmerHale

Reminder for all 13F Filers: Form N-PX is due this month - by August 31, 2024

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Mutual funds and other registered investment companies have long had an obligation to file Form N-PX, giving the SEC and the public access to how a fund voted proxies on an annual basis. New Rule 14Ad-1 under the Securities...more

Troutman Pepper

Upcoming Deadline for Resource Extraction Issuers to File First Form SD Disclosures

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On March 16, 2021, Rule 13q-1 under the Securities Exchange Act of 1934, as amended (Exchange Act), took effect. This rule requires resource extraction issuers to disclose on Form SD information relating to payments made to a...more

Seward & Kissel LLP

Reminder for 13F Filers: Deadline to Report Proxy Votes on Form N PX is August 31, 2024

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Seward & Kissel is reminding its clients about the SEC’s new proxy vote reporting requirements that are applicable to certain institutional investment managers. The Form N‑PX filing deadline is August 31, 2024....more

Seward & Kissel LLP

Proxy Vote Reporting: Considerations for Institutional Investment Managers as the Form N-PX Filing Deadline Approaches

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New Rule 14Ad-1 under the Exchange Act – which becomes effective on July 1, 2024 – will require institutional investment managers subject to the reporting requirements of Section 13(f) of the Exchange Act (known as “13F...more

Dorsey & Whitney LLP

The Corporate Transparency Act: Are You Ready?

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On January 1, 2024, new direct reporting requirements to the Financial Crimes Enforcement Network (“FinCEN”), a bureau of the United States Department of the Treasury, became effective – known as the Corporate Transparency...more

Kelley Drye & Warren LLP

SEC Adopts Amendments to Rules Governing Beneficial Ownership Reporting

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On October 10, 2023, the Securities and Exchange Commission (the ​“SEC”) adopted rule amendments (the ​“Final Rules”) for investors required to file beneficial ownership reports under the Sections 13(d) and 13(g) of the...more

Davies Ward Phillips & Vineberg LLP

The SEC Amends Beneficial Ownership Reporting Rules

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On October 10, 2023, the Securities and Exchange Commission (SEC) adopted final amendments to the rules that govern beneficial ownership reporting and provided guidance on the application of those rules. The SEC also...more

Dorsey & Whitney LLP

SEC Accelerates Filing Deadlines for Beneficial Ownership Reports by 5% Shareholders, and Further Amends and Guides Reporting...

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On October 10, 2023, the Securities and Exchange Commission (“SEC”) approved amendments to the Regulation 13D-G reporting regime for persons who beneficially own more than 5% of a class of securities (“5% Owners”) that is...more

Wilson Sonsini Goodrich & Rosati

SEC Adopts Amendments to Rules Governing Beneficial Ownership Reporting

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On October 10, 2023, the U.S. Securities and Exchange Commission (SEC) approved final rules amending the beneficial ownership reporting requirements under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934...more

Vinson & Elkins LLP

Shorter Schedule 13D and Schedule 13G Filing Deadlines and New Guidance: SEC Adopts Final Rules Amending Beneficial Ownership...

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On October 10, 2023, the Securities and Exchange Commission (“SEC”) adopted amendments to the rules governing beneficial ownership1 reporting under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934 (the...more

Dorsey & Whitney LLP

RIA Regulatory Review - October 2023

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This RIA Regulatory Review highlights certain key regulatory developments affecting investment advisers. Please contact us with any questions on the topics covered below. The SEC Adopts Significant New Rules for Private...more

WilmerHale

Recent SEC Enforcement Activity Serves as a Reminder That Rule 12b-25 Requires Substantive Disclosures

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On August 22, the Securities and Exchange Commission announced settled enforcement actions against five companies for violations of Exchange Act Rule 12b-25, which requires a notification to be filed whenever a company does...more

Pillsbury Winthrop Shaw Pittman LLP

SEC Proposes Amendments to Shareholder Reporting Rules, Affecting Schedule 13D/G Filers and Impacting Section 16(a) Reporting

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Rule amendments, if adopted, would substantially shorten filing deadlines for initial and amended Schedules 13D and 13G, as well as increase the number of securityholders required to file Section 16(a) reports (Forms 3, 4,...more

Morrison & Foerster LLP

U.S. SEC Proposes Amendments to Beneficial Ownership Reporting Rules

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On February 10, 2022, the U.S. Securities and Exchange Commission (the SEC) proposed amendments[1] to the rules governing beneficial ownership reporting under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934...more

Cooley LLP

Blog: SEC proposes changes to Rule 144

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Surprise! Yesterday, the SEC announced that it had voted, without an open meeting, to propose amendments to Rule 144 to revise the method for determining the holding period—essentially eliminating tacking—for securities...more

Morrison & Foerster LLP

U.S. SEC Staff Issues Guidance Regarding On-Going Exchange Act Reporting And Registered Securities Offerings In Light Of COVID-19

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On May 4, 2020, the U.S. SEC’s Division of Corporation Finance (the “Staff”) published four “FAQs” relating to the application of the Commission’s March 25, 2020 Order (the “COVID-19 Order”) providing extended deadlines for...more

Foley Hoag LLP - Public Companies & the Law

SEC Extends Conditional Relief for Exchange Act Filings to July 1, 2020

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The SEC has extended the conditional relief it granted earlier this month to allow reporting companies and others to delay certain filings required by the Securities Exchange Act of 1934. The relief originally covered filings...more

McGuireWoods LLP

SEC Continues To Roll Out Guidance And Exchange Act Filing Relief During COVID-19

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As public companies continue to grapple with how to meet their disclosure obligations in light of the novel coronavirus (COVID-19) pandemic, the U.S. Securities and Exchange Commission and its Division of Corporation Finance...more

Alston & Bird

SEC Extends Conditional Filing Relief to Companies Affected by COVID-19

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The coronavirus pandemic has created an unprecedented and rapidly evolving situation federal agencies are scrambling to keep up with. Our Securities Group examines the Securities and Exchange Commission’s continued efforts to...more

Eversheds Sutherland (US) LLP

SEC extends flexibility due to COVID-19

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On March 25, 2020, the Securities and Exchange Commission (SEC) issued several orders (the Orders) under the Securities Exchange Act of 1934 (the “Exchange Act”), the Investment Company Act of 1940 (the 1940 Act) and the...more

Foley Hoag LLP

COVID-19 Relief—A Public Company Quick Reference Guide

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Order Under Section 36 of the Securities Exchange Act of 1934 Granting Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder - Q: Who is eligible for additional time to make required SEC...more

Sullivan & Worcester

SEC Provides Conditional Regulatory Relief for Public Companies Impacted by Coronavirus (COVID-19)

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Companies May Extend Disclosure Deadlines and Implement Changes to Annual Meetings; SEC Reminds Companies of Disclosure Obligations - The Securities and Exchange Commission recently announced that it is providing...more

Fox Rothschild LLP

SEC Eases Deadlines For Public Companies Due To Pandemic

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The U.S. Securities and Exchange Commission is giving some publicly traded companies an additional 45 days to file disclosure reports due between March 1 and April 30, 2020. However, this extra time is contingent on the...more

Dorsey & Whitney LLP

SEC Provides Filing Relief for Companies Affected by Coronavirus

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The Securities and Exchange Commission issued an order today providing filing relief for companies that are affected by the coronavirus.  In the order, the Commission notes that disruptions to transportation, and limited...more

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