News & Analysis as of

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

Pillsbury Winthrop Shaw Pittman LLP

EDGAR Next Implements Significant System Updates

Pillsbury Winthrop Shaw Pittman LLP on

System updates include improved security measures and features to enhance filers’ ability to manage their EDGAR accounts, as well as important changes to current processes, which filers should begin reviewing now to ensure a...more

Carlton Fields

SEC Continues Renewal Project for Registered Capital Raises - Expanding Use of Draft Filings May Counter Abandonment of Public...

Carlton Fields on

More than a decade has passed since the enactment of the Jumpstart Our Business Startups (JOBS) Act, which encouraged small-company capital formation through a reduction in costly regulatory burdens on SEC registrants. In...more

Shumaker, Loop & Kendrick, LLP

Client Alert: SEC Codes - Form D, Section 16 Filers and Schedule 213D and 13G

Shumaker, Loop & Kendrick, LLP on

On September 27, 2024, the United States Securities and Exchange Commission (SEC) adopted “EDGAR Next,” a collection of rule and form amendments intended to streamline access to, and management of, accounts on the SEC’s...more

DarrowEverett LLP

Private Placements in Florida Just Got Easier: Here’s How

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Florida recently implemented amendments to its Securities and Investor Protection Act (“Chapter 517”), bringing significant changes to the regulatory framework governing private placements, investment advisors, and exemptions...more

Cadwalader, Wickersham & Taft LLP

Preparing for the New SEC Electronic Filing Requirements for Form 144 – What Public Companies and Their Affiliates Need to Do to...

Cadwalader, Wickersham & Taft LLP on

The U.S. Securities and Exchange Commission (the “SEC”) has adopted new rules that will require the affiliates of public companies to electronically submit their Form 144 filings (as opposed to filing those forms manually),...more

Skadden, Arps, Slate, Meagher & Flom LLP

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

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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

Mayer Brown Free Writings + Perspectives

New Filing Fee Table Exhibit Requirements Affect All Shelf Takedowns

Mayer Brown Free Writings + Perspectives on

Effective Monday, January 31, 2022, the filing fee table exhibit requirements changed for many Securities Act and Exchange Act filings. For capital markets practitioners, it is important to now that all Rule 424 final...more

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