News & Analysis as of

Filing Requirements EDGAR

Fenwick & West LLP

REMINDER: Effective July 31, 2024, Large Accelerated Filers Must Submit Filing Fee Data in XBRL

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Effective July 31, 2024, large accelerated filers must submit fee data in Inline XBRL format in registration statements, fee bearing proxies and tenders offers, with all other filers phased in beginning July 31, 2025....more

Dorsey & Whitney LLP

SEC Accelerates Filing Deadlines for Beneficial Ownership Reports by 5% Shareholders, and Further Amends and Guides Reporting...

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On October 10, 2023, the Securities and Exchange Commission (“SEC”) approved amendments to the Regulation 13D-G reporting regime for persons who beneficially own more than 5% of a class of securities (“5% Owners”) that is...more

A&O Shearman

SEC Accelerates Schedule 13D/G Filing Deadlines and Issues Guidance on Derivatives and Group Formation

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On October 10, 2023, the SEC adopted amendments to the rules governing the reporting of beneficial ownership of securities under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934. The amendments accelerate the...more

BCLP

Major Changes to 13D-13G Reporting Adopted by SEC

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On October 10, 2023, the SEC adopted final amendments to Section 13(d) reporting obligations, including: ..Significantly accelerating filing deadlines ..Extending the filing cut-off from 5:30 pm ET to 10 pm ET ...more

Skadden, Arps, Slate, Meagher & Flom LLP

SEC Division of Corporation Finance Publishes Guidance for Registrants as Government Shutdown Looms

On September 27, 2023, facing the prospect of a lapse of appropriations, the staff of the Securities and Exchange Commission’s Division of Corporation Finance published a summary of the anticipated impact on its operations of...more

Cooley LLP

Time for EDGAR Next?

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Last week, the SEC proposed changes to the EDGAR system designed primarily to enhance EDGAR security, specifically related to EDGAR filer access and account management. In his Statement, SEC Chair Gary Gensler observed that a...more

Cooley LLP

Form 144 Goes Digital

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Venture capital and private equity funds with public companies in their portfolios – or whose principals sit on public company boards – are likely to be impacted by the new electronic filing requirements adopted by the...more

Cadwalader, Wickersham & Taft LLP

Preparing for the New SEC Electronic Filing Requirements for Form 144 – What Public Companies and Their Affiliates Need to Do to...

The U.S. Securities and Exchange Commission (the “SEC”) has adopted new rules that will require the affiliates of public companies to electronically submit their Form 144 filings (as opposed to filing those forms manually),...more

Orrick, Herrington & Sutcliffe LLP

SEC proposes requiring electronic EDGAR filings

On March 22, the SEC proposed amendments intended to “modernize” filing procedures through the use of electronic filings on EDGAR using structured data as appropriate....more

Skadden, Arps, Slate, Meagher & Flom LLP

2023 Annual Meeting Filing and Disclosure Requirements

SEC Proxy Filing Requirements - File proxy card, Notice of Internet Availability and other soliciting materials with the SEC. In addition to filing the proxy statement, companies should confirm that the proxy card, the...more

Mayer Brown Free Writings + Perspectives

SEC Extends EDGAR Filing Hours for Form 144

The US Securities and Exchange Commission (SEC) requires that Form 144 filings be made electronically via EDGAR, commencing April 13, 2023.  Currently Form 144 may either be mailed to the SEC or submitted electronically via...more

Husch Blackwell LLP

SEC to Mandate Electronic Filing of Form 144 via EDGAR

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On June 2, 2022 the Securities and Exchange Commission (SEC) adopted rule amendments that will require all Forms 144 to be filed electronically on EDGAR, rather than mailing a traditional paper filing or utilizing the option...more

McGuireWoods LLP

SEC Sets Deadline for Compliance with Electronic Filing Requirements for Form 144

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On June 2, 2022, the U.S. Securities and Exchange Commission (SEC) adopted rule amendments that require, among other things, Forms 144 to be filed electronically using the SEC’s EDGAR system, rather than through a paper...more

White & Case LLP

SEC Releases Electronic Form 144

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On September 23, 2022, the Securities and Exchange Commission (the "SEC") released the electronic version of Form 144. This follows the SEC's adoption on June 2, 2022 of rule amendments that require all Forms 144 to be filed...more

Cooley LLP

“The electronic Form 144 may be a big change, but it doesn’t have to feel like one!”

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That’s the headline on a sidebar on the SEC’s newest Form 144 EDGAR page, providing psychological support and comfort to ease the trauma—I mean the transition—for new filers of electronic Forms 144. You might recall that, in...more

Miller Nash LLP

SEC Expands Electronic Submission Requirements

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In 1993, the Securities and Exchange Commission (SEC) began mandating the electronic submission of various reports and other documents filed with the SEC. The SEC has once again expanded the categories of documents that must...more

ArentFox Schiff

Scrapped Paper: SEC Adopts New Electronic Filing Requirements for Investment Advisers

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The U.S. Securities and Exchange Commission (SEC) announced last week that it will now require electronic submissions via its Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system for certain applications, namely...more

Hogan Lovells

SEC rule amendments to require electronic submission of Form 144 filings and “glossy” annual reports - SEC Update

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The SEC recently adopted rule amendments that will require registrants and other persons to file or otherwise submit electronically via EDGAR a variety of documents that previously could be submitted in either electronic or...more

Foley & Lardner LLP

SEC Updates Electronic Filing Requirements

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On June 3, 2022, the Securities and Exchange Commission (the “SEC”) announced its adoption of rule and form amendments expanding the requirement of electronic filing to include certain documents that are currently permitted...more

Eversheds Sutherland (US) LLP

XBRL reporting rules for BDCs come into effect as SEC adopts new electronic filing requirements

On August 1, 2022, the SEC’s structured data reporting rules governing business development companies will become effective. These rules, which were originally adopted in April 2020, require BDCs to tag certain submissions...more

BCLP

More on new SEC electronic filing requirements - Form 11-Ks and “glossy” annual reports

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Earlier this month, the SEC announced the amendment of its electronic filing rules. In addition to Form 144 filings, which we discussed in our June 22 post, the amendments will affect Form 11-Ks and “glossy” annual reports,...more

Kelley Drye & Warren LLP

SEC Expands Electronic Filing Requirements

Overview The Securities and Exchange Commission (SEC) announced on June 3, 2022 that it has adopted amendments requiring a number of additional forms to be filed or submitted electronically. These final rules are part of the...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

Dorsey & Whitney LLP

SEC Requires Electronic Submission of “Glossy” Annual Reports

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On June 3, 2022, the Securities and Exchange Commission mandated the electronic filing or submission of certain documents that reporting companies currently may provide as paper filings, by adopting amendments to Regulation...more

BakerHostetler

SEC Adopts Electronic Filing Mandates for Form 144 and Other Items

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Key Takeaways - ..The Securities and Exchange Commission (SEC) has adopted amendments to eliminate the paper filing option of several forms, including Form 144 and “glossy” annual reports, and to require such forms to be...more

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