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
4/18/2022
/ Beneficial Owner ,
Compliance ,
Filing Deadlines ,
Proposed Amendments ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Shareholders ,
Transparency ,
Valuation ,
Voting Powers
As 2021 comes to a close, Chair Gensler caps an ambitious inaugural year by proposing sweeping changes to the availability of Rule 10b5-1 trading plans.
The proposed amendments—in which all five Commissioners joined—are...more
Economic uncertainty is driving some public companies to weigh the advantages of exiting the SEC disclosure regime by deregistering, or “going dark.”
Public companies affected by market conditions and overwhelmed by the...more
SEC adopts final rules to allow reporting companies to use Regulation A to conduct unregistered securities offerings.
Reporting companies may use Regulation A to conduct securities offerings of up to $50 million in a...more
Airbnb and Uber add support to revision of Rule 701 to dramatically expand availability of Rule 701 for equity grants by “gig economy” companies.
Airbnb and Uber want the SEC to reform Rule 701 to permit equity issuances...more
10/26/2018
/ AirBnB ,
Disclosure Requirements ,
Equity Grants ,
Form S-8 ,
Gig Economy ,
Independent Contractors ,
Regulation D ,
Rule 701 ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Uber
Increased Rule 701 threshold provides greater flexibility and reduces compliance costs for non-reporting companies.
Recently enacted legislation rolling back Dodd-Frank directs the SEC to increase the Rule 701 enhanced...more
6/22/2018
/ Deregulation ,
Disclosure Requirements ,
Dodd-Frank ,
Economic Growth Regulatory Relief and Consumer Protection Act ,
Financial Regulatory Reform ,
Foreign Private Issuers ,
GAAP ,
Reporting Requirements ,
Rule 701 ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Trump Administration
Two key features of the JOBS Act – general solicitation in Rule 506 offerings, and the increased thresholds at which an issuer will be required to register a class of securities under the Securities Exchange Act of 1934 (the...more