On December 13, 2022, the Securities and Exchange Commission unanimously adopted amendments to Rule 10b5-1, imposing new limitations on the ability of insiders to utilize so-called “10b5-1 plans.” 10b5-1 plans are plans to...more
12/20/2022
/ 10b5-1 Plans ,
Amended Rules ,
Board of Directors ,
Corporate Counsel ,
Corporate Governance ,
Corporate Officers ,
Directors ,
Disclosure ,
Insider Trading ,
Publicly-Traded Companies ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Securities Regulation
The SEC has adopted amendments to Regulation S-K to revise the rules for MD&A and eliminate the requirement for selected financial data in SEC filings. According to the SEC, "The amendments are intended to enhance the focus...more
11/24/2020
/ Amended Rules ,
Annual Reports ,
Disclosure Requirements ,
Financial Statements ,
Foreign Private Issuers ,
Form 10-K ,
Form 20-F ,
MD&A Statements ,
Modernization ,
Registration Statement ,
Regulation S-K ,
Securities and Exchange Commission (SEC)
The SEC has adopted amendments to modernize certain disclosure requirements set forth in Regulation S-K. Specifically, the SEC updated the items governing a company’s description of environmental proceedings in which the...more
On October 24, 2019, the SEC proposed amendments (https://www.sec.gov/rules/proposed/2019/33-10720.pdf) that would modernize filing fee disclosure and payment methods for most SEC forms that require fees to be paid...more
The SEC today issued final rules to amend Securities Act Rule 701, which provides an exemption from registration for securities issued by private companies pursuant to compensatory arrangements, such as equity plans. As...more
7/18/2018
/ Amended Rules ,
Disclosure Requirements ,
Economic Growth Regulatory Relief and Consumer Protection Act ,
Form S-8 ,
Gig Economy ,
Goods or Services ,
Public Comment ,
Public Offerings ,
Registration Requirement ,
Regulatory Agenda ,
Rule 701 ,
Securities and Exchange Commission (SEC) ,
Threshold Requirements
The Public Company Accounting Oversight Board has approved a new standard (though still subject to SEC approval) designed to enhance the relevance and usefulness of the Auditor's Report with additional information for...more
The SEC today adopted an amendment to shorten by one business day the standard settlement cycle for most broker-dealer securities transactions....more