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Disclosure Requirements Certification Requirements

Eversheds Sutherland (US) LLP

SEC amends Rule 10b5-1 and revamps affirmative defense to insider trading charges

The Securities and Exchange Commission (SEC) has unanimously adopted amendments to Rule 10b5-1 (the Rule), which prohibits the purchase or sale of securities on the basis of material nonpublic information (MNPI) in violation...more

Morrison & Foerster LLP

U.S. SEC Adopts Amendments to Rule 10b5-1 and Requires Related Disclosures

Morrison & Foerster LLP on

On December 14, 2022, the U.S. Securities and Exchange Commission (the SEC) adopted amendments to the affirmative defense in Rule 10b5-1(c) under the Securities Exchange Act of 1934, as amended (the Exchange Act), and adopted...more

Dorsey & Whitney LLP

New Disclosure Requirements for OTCQB Quoted Issuers

Dorsey & Whitney LLP on

Issuers quoted on the OTCQB are now required to promptly disclose the issuance of any promissory notes, convertible notes, convertible debentures, or any other debt instruments that may be converted into a class of the...more

Faegre Drinker Biddle & Reath LLP

Gainful Employment Regulations Rescinded as of July 1, 2020, with Institutional Option for Early Implementation

On July 1, 2019, the U.S. Department of Education (the Department) published final regulations (the “Final Rule”) rescinding requirements for programs that are eligible for Title IV federal student financial aid based on...more

Genova Burns LLC

Less Than One Month: NJ ELEC Broadens Annual Pay-to-Play Form & Requires Companies to Disclose Additional Information

Genova Burns LLC on

Recent changes in the annual filing requirement for companies doing business with local, county or state government in New Jersey may make the process for completing this year’s ELEC Business Entity Annual Statement (“Form...more

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