Artificial Intelligence, Securities and Exchange Commission (SEC), Beneficial Owner

SEC Actions in Review: What Officers and Directors Should Know for 2025

Foley & Lardner LLP on 1/29/2025

As the regulatory landscape continues to evolve, public company officers and directors must stay abreast of the enforcement priorities and expectations of the Securities and Exchange Commission (SEC). Over the past year, the...more

Private Company Report: Fourth Quarter 2024

Paul Hastings LLP on 1/22/2025

This edition of the Private Company Report highlights critical updates and regulatory changes affecting private companies, including a temporary stay on the enforcement of the new beneficial ownership reporting requirements...more

Annual Report and Shareholder Meeting Season and Other Recent SEC Developments

Seward & Kissel LLP on 12/24/2024

This memorandum summarizes key U.S. Securities and Exchange Commission (“SEC”) and stock exchange regulatory filing deadlines, new disclosure requirements and general tips and guidance for both U.S. domestic issuers and for...more

Recent Developments for Directors - April 2024 Edition

Latham & Watkins LLP on 4/30/2024

SEC Wins “Shadow Trading” Case - The SEC notched a major win in its recent Panuwat case, described as the first-ever “shadow trading” enforcement action. After a biotech executive learned about his company’s imminent...more

Public Company Watch: November 2023

Paul Hastings LLP on 11/17/2023

In the November edition of our Public Company Watch, we cover key issues impacting public companies, including how to prepare for the 2024 10-K season; the SEC announcing a new intake system for Rule 14a-8 submissions; the...more

Broker Dealer Regulatory Digest - September 2023

Davis Wright Tremaine LLP on 9/22/2023

Editor's Note - The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal and/or state financial services regulatory agency,...more