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New Guidance Securities and Exchange Commission (SEC) Annual Reports

Seward & Kissel LLP

SEC Staff Issues Guidance on Tailored Shareholder Reports

Seward & Kissel LLP on

Who may be interested: Registered Investment Companies; Investment Advisers - Quick Take: The staff of the Division of Investment Management’s Disclosure Review & Accounting Office (Staff) issued an Accounting and...more

Perkins Coie

Digital Asset SEC Timeline - Update December 2020

Perkins Coie on

The Digital Asset SEC Timeline serves as an interactive compilation of select SEC guidance, enforcement actions, and speeches relating to the application of the federal securities laws to digital assets. Beginning with the...more

Snell & Wilmer

Annual Reporting Considerations

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COVID-19 Considerations. Following the onset of the COVID-19 pandemic, the SEC has twice issued guidance for public companies addressing disclosure considerations in light of COVID-19.1 This guidance remains useful as...more

Sheppard Mullin Richter & Hampton LLP

CFTC’s Enforcement Division Announces Record-Breaking 2020 and Outlines Priorities for 2021

On December 1, 2020, the Commodities Futures Trading Commission (CFTC) Division of Enforcement published its annual report for Fiscal Year 2020. According to the report, the Division filed a record number of enforcement...more

Goodwin

SEC Issues MD&A Guidance

Goodwin on

The Securities and Exchange Commission (Commission) recently announced that it has issued guidance on key performance indicators and metrics in Management’s Discussion and Analysis (MD&A). Although the guidance in the...more

Katten Muchin Rosenman LLP

Bridging The Week - December 2019

The Commodity Futures Trading Commission issued revised guidance for mandatory chief compliance officer annual compliance reports for futures commission merchants and swap dealers. However, the proposed recommendations are...more

Akin Gump Strauss Hauer & Feld LLP

SEC Staff Issues Guidance Regarding Requirement to Submit Annual Reports to SEC Under Exchange Act Rules 14a-3(c) and 14c-3(b),...

On November 2, 2016, the Staff of the Division of Corporation Finance of the U.S. Securities and Exchange Commission (SEC) issued guidance regarding the submission of annual reports by registrants to the SEC under Exchange...more

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