This legal update summarizes (a) the reporting requirements under Section 13(d), (f), (g) and (h) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), which are generally applicable to persons that own or...more
2/11/2025
/ Beneficial Owner ,
Broker-Dealer ,
Disclosure Requirements ,
Filing Requirements ,
Insider Trading ,
Investment ,
Investment Adviser ,
Publicly-Traded Companies ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Regulation
This legal update summarizes (a) the reporting requirements under Section 13 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), which are generally applicable to persons that own, or exercise investment...more
2/13/2023
/ Beneficial Owner ,
Control Person ,
EDGAR ,
Investment Management ,
Investors ,
Large Traders ,
Passive Investments ,
Proxy Voting ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
On February 7, 2023, the SEC’s Division of Examinations (the “Division”) issued its report on 2023 Examination Priorities. The following is a summary of key issues highlighted in the Division’s report which are of importance...more