Amended Rules Five Months Later: Early Trends in Case Law and What It Means
SEC Approves New Rules to Address Run Risks in Money Market Funds
On October 10, 2023, as part of an effort to modernize beneficial ownership reporting requirements to align with today’s dynamic markets, the Securities and Exchange Commission (the “SEC”) announced the adoption of amendments...more
Securities Act Rule 144 provides a “safe harbor” from the registration (but not the antifraud) provisions of the Securities Act of 1933, as amended (“Securities Act”), for resales of two types of securities: “restricted...more
On June 2, 2022, the U.S. Securities and Exchange Commission (the “SEC”) announced the adoption of its 2021 proposed amendments regarding the mode of filing certain forms and documents. Historically, SEC rules permitted or...more
On June 2, 2022, the United States Securities and Exchange Commission (“SEC”) adopted amendments to Exchange Act Rule 14a-3, Form 10-K and Regulation S-T, among others, which mandate that registrants electronically submit to...more
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
On June 3, 2022, the US Securities and Exchange Commission (SEC) adopted amendments to Rule 101 of Regulation S-T that eliminate the option for issuers and filing persons to file a number of forms in paper format...more
On June 2, 2022, the U.S. Securities and Exchange Commission adopted rule and form amendments (the “Amendments”) that mandate the electronic filing or submissions of certain documents on its Electronic Data Gathering,...more
The amendments are designed to increase focus on material information while simplifying compliance efforts. The amendments eliminate the five-year selected financial data requirement, limit selected quarterly financial...more
On March 20, 2019, the Securities and Exchange Commission (the SEC) voted to adopt amendments to modernize and simplify disclosure requirements for public companies, investment advisers and investment companies. ...more