News & Analysis as of

Quarterly Report

Morrison & Foerster LLP

Fifth Circuit Vacates SEC Private Fund Adviser Rules

On June 5, 2024, a three-judge panel of the U.S. Court of Appeals for the Fifth Circuit (the “Fifth Circuit”) unanimously vacated the “Private Fund Adviser Rules,” which the U.S. Securities and Exchange Commission (the SEC)...more

King & Spalding

CMS Issues Proposed PPS Rule for Inpatient Psychiatric Hospitals

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On March 28, 2024, CMS issued its fiscal year (FY) 2025 prospective payment system (PPS) proposed payment rule for inpatient psychiatric hospitals (IPFs). The proposed rule is expected to be published in the Federal Register...more

BCLP

Updates and Reminders for Upcoming Quarterly Filings

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As calendar-year companies prepare for upcoming quarterly reports, here are some updates and reminders...more

Seward & Kissel LLP

SEC Adopts Climate-Related Disclosure Regulations

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On March 6, 2024, the Securities and Exchange Commission (SEC) adopted new rules that increase public company reporting requirements regarding climate change.  The new rules, which the SEC originally proposed in March 2022,...more

Jackson Lewis P.C.

New Reporting Requirements for South Carolina Employers

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Starting in the first quarter of 2024, employers must report Standard Occupational Code (SOC) information for their employees in the quarterly wage file reports due by April 30, 2024. In May 2023, Governor Henry McMaster...more

Dorsey & Whitney LLP

Fifth Circuit Vacates SEC Rules for Share Repurchase Disclosure

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We had previously reported that beginning with the next annual report on Form 10-K, most US-listed issuers would be required to make more extensive disclosures on their share repurchase programs and insider transactions...more

Snell & Wilmer

Corporate Communicator - 2024 Annual Meeting Season

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Clawback Rules. As previously discussed in last Winter’s Corporate Communicator, the Securities and Exchange Commission (“SEC") adopted final rules in October 2022 directing the NYSE and Nasdaq to adopt listing standards that...more

Lowenstein Sandler LLP

The SEC’s Private Fund Adviser Rules Explained — Part 4: The Quarterly Statement Rule

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As we have discussed in earlier Client Alerts, on August 23, 2023, the U.S. Securities and Exchange Commission (SEC) adopted new and amended rules under the Investment Advisers Act of 1940, as amended (the Advisers Act), to...more

Troutman Pepper

FERC Proposes Changes to Filing Requirements and Data Collection for Electric Quarterly Report

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On October 19, 2023, FERC issued a Notice of Proposed Rule Making (“NOPR”) proposing various changes to its Electric Quarterly Report (“EQR”) filing requirements. According to FERC, the proposed changes are designed to update...more

Perkins Coie

Quarterly Investment Update - 3rd Quarter 2023

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Stock Market Commentary - The S&P 500 Index fell 3.30% during the third quarter of 2023, with growth stocks losing slightly less than value stocks. Interest rate–sensitive stocks in the utilities and real estate sectors...more

Vinson & Elkins LLP

Vinson & Elkins' Quarterly Securities & ESG Updates - Fall 2023

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Welcome to Vinson & Elkins’ Securities and ESG Updates. Our aim is to provide insights into notable developments in securities reporting and the environmental, social and governance space over the quarter and, where...more

Dechert LLP

The SEC’s Private Fund Adviser Rules: Exploring The Critical Questions

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The Securities and Exchange Commission adopted new and amended rules under the Investment Advisers Act of 1940 (“Final Rules”) in August 2023 that will impose a broad set of new reporting, disclosure and other obligations on...more

Mintz

Compliance Dates Are Set: A Roadmap for Private Fund Advisers to Start Preparing for the SEC’s New Rules for Private Fund Advisers

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The US Securities and Exchange Commission (“SEC”) recently finalized sweeping new rules for private fund advisers (the “PFA Rules”) under the Investment Advisers Act of 1940, as amended (the “Advisers Act”). The PFA Rules...more

Paul Hastings LLP

Investment Funds & Private Capital Market Insights: SEC Adopts Scaled-Back Version of Private Fund Rules (Part 2 of 2)

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Part 2 of the Paul Hastings’ Investment Funds and Private Capital team’s review of the new Private Fund Rules explores the new rules in-depth, and provides additional perspective on market practices that may evolve in...more

Warner Norcross + Judd

SEC Adopts New Rules and Amendments Affecting Private Fund Advisers

On August 23, the Securities and Exchange Commission (SEC) passed a final rule significantly increasing oversight and expanding compliance obligations for all private fund advisers, including exempt reporting advisers (ERAs)...more

Allen Matkins

New SEC Rules Will Increase the Regulation of Private Fund Advisers

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The U.S. Securities and Exchange Commission (SEC) recently adopted new rules and rule amendments under the Investment Advisers Act of 1940, as amended (the Advisers Act) that will increase the regulation of private fund...more

Zuckerman Spaeder LLP

SEC Adopts New Rules for Private Funds: What Advisers and Investors Need to Know

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On August 23, 2023, the U.S. Securities and Exchange Commission (“SEC” or “Commission”) finalized new rules and amendments under the Investment Advisers Act of 1940 (“Advisers Act”) to enhance the regulation of private fund...more

Cozen O'Connor

SEC Adopts Final Private Fund Adviser Rules

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On August 23, 2023, the Securities and Exchange Commission (SEC) voted three to two (Commissioners Peirce and Uyeda dissenting) to adopt new and amended rules (Final Rules) under the Investment Advisers Act of 1940 (Advisers...more

Lowenstein Sandler LLP

SEC Enacts Wide-Sweeping Private Funds Rules

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On August 23, 2023, the U.S. Securities and Exchange Commission (SEC) announced the enactment of a series of new and amended rules under the Investment Advisers Act of 1940, as amended (the Advisers Act). We refer to these...more

Dorsey & Whitney LLP

The SEC Adopts Significant New Rules for Private Fund Advisers

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On August 23, 2023, the Securities and Exchange Commission (“SEC”) adopted new rules and rule amendments (the “Final Rules”) under the Investment Advisers Act of 1940 (“Advisers Act”) to enhance the regulation of private fund...more

Paul Hastings LLP

Investment Funds & Private Capital Market Insights: SEC Adopts Scaled-Back Version of Private Fund Rules (Part 1 of 2)

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On August 23, 2023, the SEC voted (3-2) to adopt new rules and amendments under the Investment Advisers Act of 1940 applicable to private fund advisers (available here), which were initially proposed in February 2022. The...more

Lowenstein Sandler LLP

SEC Adopts Amendments to Form PF for Registered Investment Advisers to Private Funds

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On May 3, 2023, the U.S. Securities and Exchange Commission (“SEC”) adopted amendments to Form PF, the confidential form by which certain SEC-registered investment advisers report information pertaining to the private funds...more

Tarter Krinsky & Drogin LLP

Has the SEC Made 10b5-1 Trading Plans More Hassle Than They’re Worth?

Executive suites in public companies across America took notice in recent weeks when federal prosecutors filed the first ever case based exclusively on an executive’s sale of company shares pursuant to what is commonly...more

Wiley Rein LLP

Audit Your LDA Process Now

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Twenty days after every calendar quarter, a Lobbying Disclosure Act (LDA) report (Form LD-2) is due, plus two more in July and January (Form LD-203). Every one of these filings is subject to the LDA as well as the criminal...more

Benesch

3D Printing Half-Year Report - Q4 2022

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This report explores developments in 3D printing across several sectors and categories for the half-year period of July 1, 2022–December 15, 2022. ...more

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