News & Analysis as of

Registration Statement Final Rules

Carlton Fields

Last Lap in SEC RILA Rulemaking: Critical Unresolved Issues

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Congress directed the SEC to adopt a new registration statement for registered indexed annuities (RILAs) by the end of June. Several months ago, the SEC published its proposed registration statement and related rules. As we...more

Moore & Van Allen PLLC

SEC Climate Rules Create Unique Challenges For CRE

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On March 6, the U.S. Securities and Exchange Commission adopted long-awaited final rules detailing climate-related disclosures required of public companies in their annual reports and registration statements. Originally...more

Wilson Sonsini Goodrich & Rosati

[Webinar] SEC Climate Disclosures - March 27th, 9:00 am - 10:00 am PT

Please join us for a practical session on the requirements of the U.S. Securities and Exchange Commission’s (SEC) final climate-related disclosure rules and considerations for companies navigating these disclosures. On...more

Goldberg Segalla

New SEC Climate Disclosure Mandate Faces Pushback

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The U.S. Securities and Exchange Commission last week approved the implementation of standardized climate disclosure rules (posted here) for publicly traded companies and in public offerings. No longer can companies simply...more

Goodwin

The Coming Storm: Preparing for The SEC's Final Climate-Related Disclosure Rules

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On March 6, 2024, the U.S. Securities and Exchange Commission (SEC) adopted final rules that will require expansive new climate-related disclosures in Form 10-K and Form 20-F annual reports and most registration statements....more

Latham & Watkins LLP

SEC Adopts Final Climate-Related Disclosure Rules

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On March 6, 2024, in a 3-2 vote, the US Securities and Exchange Commission (SEC) adopted final rules requiring registrants to disclose certain climate-related information in registration statements and annual reports. ...more

Goodwin

OCC Proposes Rules for CRA Benchmarks and Fair Access

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In the News. The Office of the Comptroller of the Currency (OCC) issued a long-awaited rule seeking comment on its proposed approach to determine the Community Reinvestment Act (CRA) evaluation measure benchmarks, retail...more

Ballard Spahr LLP

SEC Adopts Rule Amendments to Modernize Certain Disclosures Under Regulation S-K

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By a 3-2 vote, the U.S. Securities and Exchange Commission (SEC) has adopted amendments designed to modernize the disclosure requirements involving description of business (Item 101), legal proceedings (Item 103), and risk...more

Proskauer Rose LLP

SEC Adopts a More Principles-Based Approach to Public Company Disclosure Requirements

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On August 26, 2020, the Securities and Exchange Commission adopted amendments to Regulation S-K that simplify and modernize the disclosure requirements relating to description of business, legal proceedings, and risk factors,...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on Rule Changes for Position Limits and Brexit Transitions

SEC/CORPORATE - SEC Division of Corporation Finance Issues C&DIs on Omission of Third Year From MD&A - As previously discussed in the April 12, 2019 edition of Corporate & Financial Weekly Digest, the Securities and...more

Vedder Price

SEC Adopts New ETF Rule

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On September 26, 2019, the Securities and Exchange Commission (the “SEC”) adopted Rule 6c-11 (the “Rule”) under the Investment Company Act of 1940 (the “1940 Act”), the long-awaited “ETF Rule.” ETFs that satisfy certain...more

A&O Shearman

SEC Adopts Rule to Allow Most ETFs to Operate without an Order (With Strings Attached)

A&O Shearman on

The Securities and Exchange Commission adopted a long-awaited exemptive rule that will allow most exchange-traded funds (ETFs) to operate without an exemptive order, subject to various conditions. The final rule, which the...more

K&L Gates LLP

SEC Adopts Long Awaited ETF Rule to Modernize ETF Regulation

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SEC ADOPTS LONG AWAITED ETF RULE TO MODERNIZE ETF REGULATION - On September 25, 2019, the U.S. Securities and Exchange Commission (the “Commission” or “SEC”) approved Rule 6c-11 under the Investment Company Act of 1940, as...more

Perkins Coie

Get Ready for Mandatory SEC Exhibit Hyperlinks Beginning September 1

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The Securities and Exchange Commission’s final rules requiring hyperlinking of exhibits to SEC filings will be effective for most public companies on September 1, 2017. This update summarizes the final rules, answers the top...more

A&O Shearman

US Securities and Exchange Commission Approves Rules to Ease Investor Access to Exhibits in Company Filings

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The SEC adopted rule and form amendments to make it easier for investors and other market participants to find and access exhibits in registration statements and periodic reports that were originally provided in previous...more

Skadden, Arps, Slate, Meagher & Flom LLP

"SEC Adopts Rules Requiring Hyperlinks to Exhibits"

On March 1, 2017, the U.S. Securities and Exchange Commission (SEC) adopted final rules requiring issuers to include hyperlinks to exhibits listed in the exhibit index. The rules apply to most registration statements and...more

Akin Gump Strauss Hauer & Feld LLP

Junior Associates Rejoice: SEC Adopts Rule and Form Amendments to Require Registrants to Hyperlink Exhibits Listed in Filings and...

One of the typical activities for junior associates in performing due diligence for M&A and securities transactions involving public companies is going through the “exhibit list” filed by the public company on its recent...more

BCLP

New SEC Rules Require Hyperlinks to Exhibits in Company Filings

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On March 1, 2017, the SEC adopted final rules requiring companies to begin including hyperlinks to each document listed in exhibit indices to registration statements and reports filed with the Commission. The new requirement...more

Parker Poe Adams & Bernstein LLP

It’s Official - Exhibit Hyperlinks are Here (Almost)

Last August, the SEC proposed rule amendments that would require companies to include a hyperlink to each exhibit listed in the exhibit index of a registration statement, periodic report or current report. At the time, I...more

Dorsey & Whitney LLP

SEC Adopts Use of Exhibit Hyperlinks in Filings

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We reported in September 2016 on proposed Securities and Exchange Commission rules requiring the use of hyperlinks to exhibits in most registration statements and periodic and current reports. On March 1, 2017, the SEC...more

Goodwin

SEC Adopts Mandatory Exhibit Hyperlinks and HTML Format Rules

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The Securities and Exchange Commission has adopted final rules that will require companies to include active hyperlinks to exhibits in most registration statements filed under the Securities Act of 1933 and most reports filed...more

Perkins Coie

Dodd-Frank Executive Compensation Update: SEC Adopts CEO Pay Ratio Disclosure Rules

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The Securities and Exchange Commission (SEC) recently adopted final rules implementing one of the last four remaining executive compensation requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act. ...more

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