Howard Berkenblit

Sullivan & Worcester

+ Follow Contact

Latest Posts › Schedule 13D

Share:

New SEC Guidance May Lead to More 5% Shareholders Having to File Schedule 13Ds

The SEC’s Division of Corporation Finance recently published a new Compliance and Disclosure Interpretation (CD&I) 103.12 regarding shareholders’ engagement with issuers’ management in the context of eligibility to report on...more

3/4/2025 / Corporate Governance , Disclosure Requirements , Investors , Reporting Requirements , Schedule 13D , Schedule 13G , Securities and Exchange Commission (SEC) , Securities Regulation , Shareholders

SEC finalizes shorter 13D and 13G deadlines and other Section 13 changes

On October 10, 2023, the SEC (apparently without a meeting) adopted rule amendments governing beneficial ownership reporting under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934. Among other things, the...more

10/12/2023 / Amended Regulation , Compliance , Filing Deadlines , Forms , Regulatory Agenda , Schedule 13D , Securities and Exchange Commission (SEC) , Securities Exchange Act of 1934 , Securities Regulation

SEC proposes shorter 13D and 13G deadlines and other Section 13 changes

Yesterday, the SEC proposed rule amendments governing beneficial ownership reporting under Exchange Act Sections 13(d) and 13(g)....more

2/14/2022 / Beneficial Owner , Filing Requirements , Proposed Amendments , Schedule 13D , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Regulation

3 Results

View per page

Page: of 1