News & Analysis as of

Filing Requirements Amended Regulation

Foley Hoag LLP

Reminder: New Say-on-Pay Disclosures for Institutional Investment Managers Now Effective

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The Securities and Exchange Commission (“SEC”) adopted amendments to Form N-PX on November 2, 2022. Previously, Form N-PX applied solely to registered investment companies (i.e., mutual funds, exchange-traded funds and...more

Foley Hoag LLP

CCC Proposes Regulatory Amendments to Clarify New Host Community Agreement Requirements and Limitations on Community Impact Fees

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The Cannabis Control Commission (“CCC”) has proposed multiple amendments to its existing regulations, including a proposed amendment adding a new section to its regulations entitled “Host Community Agreement Requirements for...more

Alston & Bird

SEC Adopts Amendments to Broaden Electronic Filing Requirements

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The SEC has adopted rule amendments requiring certain documents previously fileable in either electronic or physical form to be filed electronically. Our Securities Group covers which documents are covered and how companies...more

Foley & Lardner LLP

SEC Amends Regulation S-T to Permit Electronic Signatures

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On November 17, 2020, the U.S. Securities and Exchange Commission (“SEC”) announced it had adopted amendments to Regulation S-T and other rules to permit the use of electronic signatures for SEC filings (the “Amendments”). ...more

WilmerHale

SEC Adopts Amendments to Permit Electronic Signatures

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On November 17, 2020, the SEC announced that it will begin to permit the use of electronic signatures for certain filings. To take advantage of the new rule amendments, which become effective upon publication in the Federal...more

Goodwin

Regulation S-K Amendments Effective November 9, 2020

Goodwin on

The SEC approved amendments to Items 101, 103, and 105 of Regulation S-K in late August, as described in a recent client alert, “SEC Adopts Third Round of Disclosure Modernization.” The amendments were published in the...more

Pillsbury Winthrop Shaw Pittman LLP

SEC Amends Disclosure Requirements for Guaranteed Securities

The amendments will become effective on January 4, 2021, with earlier compliance permitted. The amendments focus on providing material financial and non-financial information regarding guarantees and other credit...more

Dechert LLP

CFTC Finalizes Regulation Amendments: Certain Registered and Exempt CPOs and CTAs Need to Take Action

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The Commodity Futures Trading Commission published in the Federal Register on December 10, 2019 several amendments to the regulatory framework applicable to certain commodity pool operators (CPOs) and commodity trading...more

Akin Gump Strauss Hauer & Feld LLP

FERC Announces New Requirements for Certain Filings and Submissions

On August 27, 2019, the Federal Energy Regulatory Commission (FERC or the “Commission”) issued a final rule revising its regulations to require all hard copy and hand delivered filings and submissions—except those sent via...more

Bracewell LLP

Complying with the SEC's New Requirements for InLine XBRL Tagging of Cover Page Information: Clarification Regarding Exhibit 104

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In March 2019, the Securities and Exchange Commission adopted final rules amending Regulation S-K and related rules and forms to modernize and simplify disclosure requirements for registrants. These amendments follow from the...more

Foley & Lardner LLP

Updated TSCA Inventory: What You Need to Know Now to Avoid Business Disruption

Foley & Lardner LLP on

In 2016, after decades without any changes, Congress amended the Toxic Substances Control Act (the “TCSA”) with an eye towards updating and modernizing the regulatory regime for chemical substances. One of the elements of the...more

Akin Gump Strauss Hauer & Feld LLP

SEC Rules Updated to Modernize and Simplify Disclosures: Act FAST to update upcoming Form 8-Ks, 10-Qs and 10-Ks

Recently, the Securities and Exchange Commission (SEC) adopted amendments (the Amendments) to modernize and simplify disclosure requirements in Regulation S-K (and related rules and forms). Consistent with the SEC’s mandate...more

Winstead PC

SEC Adopts Amendments to Modernize and Simplify Certain Disclosures

Winstead PC on

On March 20, 2019, the Securities and Exchange Commission (SEC) adopted amendments to modernize and simplify certain disclosure requirements in Regulation S-K, and related rules and forms, in a manner that reduces the costs...more

Foley & Lardner LLP

SEC Modernizes and Simplifies Disclosure Requirements

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On March 20, 2019, the U.S. Securities and Exchange Commission (SEC) announced it had adopted a series of amendments to improve the readability and navigability of company disclosures, and to discourage the disclosure of...more

Carlton Fields

XBRL Amendments Have Limited Impact on Insurance Products

Carlton Fields on

On June 28, the SEC amended existing requirements for public operating companies and mutual funds regarding the use of eXtensible Business Reporting Language (XBRL) for financial statement information and risk/return...more

Skadden, Arps, Slate, Meagher & Flom LLP

"Corporate Finance Alert: SEC Adopts EGC Inflation Adjustments and Other Technical Amendments Under the JOBS Act"

On March 31, 2017, the Securities and Exchange Commission (SEC) adopted several new rules to effectuate inflation adjustments mandated under the Jumpstart Our Business Startups (JOBS) Act and made a number of technical...more

Morrison & Foerster LLP - JOBS Act

House Debate Scheduled for Bills Relating to Capital Access for Small Business

Next week, the House is scheduled to debate two bills designed to reduce regulatory burden on small businesses in order to facilitate access to capital. H.R. 5424, the Investment Advisers Modernization Act, was approved by...more

Morrison & Foerster LLP

FINRA Proposes Initial Round of Amendments to Communications Rules

In May 2016, FINRA filed with the SEC proposed revisions to its communications rules that include a few substantive revisions to existing rules, ease some burdensome filing requirements, and leave the door open for future...more

Katten Muchin Rosenman LLP

Amendments to FINRA Rule 2210 Regarding Communications With the Public

Financial Industry Regulatory Authority, Inc. Rule 2210 requires member firms to file certain communications with FINRA’s Advertising Regulation Department, including retail communications. The Rule 2210 filing requirements...more

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