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Regulatory Agenda › Filing Requirements › Securities and Exchange Commission (SEC)

White & Case LLP

Prepare Now for Edgar Next

White & Case LLP on

On September 27, 2024, the Securities and Exchange Commission (the "SEC") adopted rule and form amendments to the Commission's Electronic Data Gathering, Analysis, and Retrieval ("EDGAR") system to improve access to and...more

Bass, Berry & Sims PLC

The Time is Here: Public Companies Should be Mindful of the Upcoming Insider Trading Policy Form 10-K Exhibit Filing Requirement

Bass, Berry & Sims PLC on

In connection with the upcoming Form 10-K/proxy season, public companies with a fiscal year ending on December 31 will be required, for the first time, to publicly file their insider trading policies as exhibits to their...more

K2 Integrity

AML/CFT Rules for Investment Advisers

K2 Integrity on

On 12 June 2024, K2 Integrity and Schulte Roth & Zabel hosted a webinar discussing new regulatory obligations anticipated under proposed rules for investment advisers (IAs), timelines for finalization and compliance, and how...more

Skadden, Arps, Slate, Meagher & Flom LLP

Capital Markets - 2023 SEC Filing Deadlines and Financial Statement Staleness Deadlines

Skadden, Arps, Slate, Meagher & Flom LLP on

To prepare for 2023, reporting companies should be aware of applicable SEC filing deadlines and financial statement “staleness” dates, as well as regulatory reforms that may affect the preparation and contents of disclosures...more

Proskauer Rose LLP

SEC Proposes Significant Amendments to Form PF

Proskauer Rose LLP on

On January 26, 2022, the U.S. Securities and Exchange Commission (the “SEC”) proposed amendments to Form PF and related rules (the “Proposed Amendments”) under the Investment Advisers Act of 1940 (“Advisers Act”). Form PF is...more

Kramer Levin Naftalis & Frankel LLP

SEC Simplifies Disclosure Requirements to Further FAST Act Mandate

Kramer Levin Naftalis & Frankel LLP on

The SEC has adopted rule amendments to simplify disclosure requirements consistent with its mandate under the Fixing America’s Surface Transportation (FAST) Act. ...more

Mayer Brown Free Writings + Perspectives

FINRA's Corporate Financing Rule

Mayer Brown Free Writings + Perspectives on

Recently, FINRA refiled with the SEC proposed rule changes to its Corporate Financing Rule, which is Rule 5110. We had previously posted regarding FINRA’s proposed amendments, which were withdrawn. ...more

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