Matthew Weir

Kelley Drye & Warren LLP

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Latest Posts › Securities and Exchange Commission (SEC)

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SEC Issues Final Rules on Rule 10b5-1 and Insider Reporting Changes

On December 14, 2022, the Securities and Exchange Commission (the “Commission”) adopted final rules (the “Final Rules”) which will affect trading by directors and officers of listed issuers and disclosure about such...more

1/13/2023 / 10b5-1 Plans , Affirmative Defenses , Cooling-Off Rule , Disclosure Requirements , Insider Trading , Material Nonpublic Information , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Regulation

Understanding the SEC’s Final Clawback Rules

On October 26, 2022, the Securities and Exchange Commission (“SEC”) adopted its final “clawback” rules requiring securities exchanges to mandate listing standards that require listed issuers on securities exchanges...more

11/3/2022 / Clawbacks , Emerging Growth Companies , Final Rules , Foreign Private Issuers , Securities and Exchange Commission (SEC) , Smaller Reporting Companies

SEC Adjusts Definition of Emerging Growth Companies

On September 9, 2022, the Securities and Exchange Commission (the “SEC”) adopted a number of inflation-related adjustments under the Jumpstart Our Business Startups Act (the “JOBS Act”), including an adjustment to the revenue...more

9/30/2022 / Emerging Growth Companies , JOBS Act , Securities Act of 1933 , Securities and Exchange Commission (SEC) , Securities Exchange Act

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