News & Analysis as of

Safe Harbors Proposed Amendments

Constangy, Brooks, Smith & Prophete, LLP

FTC proposes amendments to the COPPA Rule

On December 20, the Federal Trade Commission released a notice of proposed rulemaking to update the Children’s Online Privacy Protection Rule, known as the “COPPA Rule.” (We are linking to the official version of the proposed...more

WilmerHale

FTC Publishes Proposed Amendments to COPPA Rule

WilmerHale on

On December 20, the Federal Trade Commission (FTC or “the Commission”) published a notice of proposed rulemaking (NPRM) proposing amendments to the Children’s Online Privacy Protection Rule (the “COPPA Rule” or the “Rule”)....more

ArentFox Schiff

Third Time’s A Charm: California Re-Introduces Proposed Changes to Proposition 65’s Warnings and Safe Harbor Requirements

ArentFox Schiff on

On October 27, the California Office of Environmental Health Hazard Assessment (OEHHA), the lead agency that implements Proposition 65, introduced its third attempt to amend the “short form” warning provisions of this widely...more

Pillsbury Winthrop Shaw Pittman LLP

Florida Legislature Reins in Florida Telephone Solicitation Act

The proposed amendment significantly tightens the conduct that constitutes a violation of the Florida Telephone Solicitation Act (FTSA). The amendment narrows the definition of “autodialer,” limits violations to...more

Womble Bond Dickinson

Projected Amendments Curbing Florida Mini-TCPA

Womble Bond Dickinson on

Florida H.B. 761 which amends the Florida Telephone Solicitation Act (“FTSA” Fla. Stat. § 501.059) has passed both houses and is awaiting Governor Ron DeSantis’ signature. The proposed amendments significantly restrict the...more

Seward & Kissel LLP

Notice: Amended Share Repurchase Disclosure Requirements 

Seward & Kissel LLP on

On May 3, 2023, the U.S. Securities and Exchange Commission (the “SEC”) adopted final amendments to Rules and Regulations under the Securities Exchange Act of 1934 (the “Exchange Act”) to add disclosure requirements relating...more

Cadwalader, Wickersham & Taft LLP

SEC Adopts Tougher Trading Rules for Corporate Insiders

On January 13, 2022, the Securities and Exchange Commission (the “SEC”) proposed several rule and form amendments to address potentially abusive practices relating to the use of Rule 10b5-1 plans, grants of options and other...more

Dorsey & Whitney LLP

SEC Amends Insider Trading Safe Harbor and Requires New Disclosures to Address Insider Trading Risks

Dorsey & Whitney LLP on

On December 14, 2022, the SEC adopted final rules amending Rule 10b5-1, the safe harbor that allows directors, executive officers and others, including issuers, to engage in securities transactions while in possession of...more

Morgan Lewis

The Name Game: SEC Proposes Expanding Scope of Registered Funds’ ‘Names Rule’

Morgan Lewis on

In a 3-1 vote, the US Securities and Exchange Commission on May 25 proposed amendments to Rule 35d-1 under the Investment Company Act of 1940 (the Names Rule) that, if adopted as proposed, could cause new entrants and...more

Goodwin

Jumpstarting the Next JOBS Act - JOBS Act 4.0

Goodwin on

The Jumpstart Our Business Startups (JOBS) Act was signed into law by President Barack Obama on April 5, 2012 and aimed to improve access to public capital markets for emerging growth companies. While largely considered a...more

BCLP

How narrow will the 10b5-1 Safe Harbor become? Business community calls for major changes to SEC’s proposals

BCLP on

The comment period for the SEC’s proposed amendments to Rule 10b5-1 expired on April 1, 2022. A review of some representative submissions generally showed strong support from institutional and retail investors. ...more

Morrison & Foerster LLP

SEC Proposes Sweeping Regulations Regarding SPAC and De-SPAC Transactions that Could Have a Chilling Effect on SPACs and Other...

On March 30, 2022, the U.S. Securities and Exchange Commission (SEC) proposed new rules and amendments relating to special purpose acquisition companies (SPACs). The SEC indicated these proposals are meant to enhance...more

Husch Blackwell LLP

OEHHA Proposes (additional) Changes to Prop 65 Short Form Warnings

Husch Blackwell LLP on

About a year ago, the Office of Environmental Health Hazard Assessment (OEHHA) proposed to amend the short form warning rules for Proposition 65. Proposition 65 requires businesses to warn Californians about exposure to...more

Hahn Loeser & Parks LLP

California’s Proposition 65: Proposed Amendment Would Restrict Use Of Short-Form Warning

California’s Office of Environmental Health Hazard Assessment (OEHHA) proposed an amendment to the content and conditions of use of Proposition 65 (“Prop 65”) short-form warnings. The proposal, which has not yet been adopted,...more

Buchalter

Major Changes Coming to Prop 65 “Short-Form” Warnings

Buchalter on

California’s Office of Environmental Health Hazard Assessment (OEHHA) has proposed sweeping changes to the popular “short-form” Proposition 65 warning. On January 8, 2021, OEHHA issued a proposal to amend Article 6 “Clear and...more

Skadden, Arps, Slate, Meagher & Flom LLP

SEC Proposes Amendments to Rule 144 and Form 144

On December 22, 2020, the U.S. Securities and Exchange Commission (SEC) proposed to amend Rule 144 to revise the holding period determination for securities acquired upon conversion or exchange of certain “market adjustable...more

McGuireWoods LLP

The Long and Short of It: Changes Proposed to Prop 65 Safe Harbor Warning Requirements

McGuireWoods LLP on

Businesses selling consumer products in California should be aware that California Environmental Protection Agency’s Office of Environmental Health Hazard Assessment (OEHHA) has proposed substantial changes to Proposition...more

Sullivan & Worcester

SEC proposed changes to Form 144 and other aspects of Rule 144

Sullivan & Worcester on

The SEC has proposed amendments that would mandate electronic filing of Form 144 (currently it may be filed either by mail or electronically), eliminate the requirement to file a Form 144 with respect to sales of securities...more

Foley & Lardner LLP

SEC Proposes Amendments to Rule 144 and Form 144

Foley & Lardner LLP on

On December 22, 2020, the Securities and Exchange Commission voted to propose an amendment to Rule 144 under the Securities Act of 1933 to revise the holding period determination for securities acquired upon the conversion or...more

King & Spalding

FINRA Proposes Expansion of Safe Harbor in Cases of Suspected Financial Exploitation

King & Spalding on

Thwarting the financial exploitation of seniors and other vulnerable investors has been an increasing focus of several financial regulators in recent years, including the Financial Industry Regulatory Authority (“FINRA”). In...more

Pillsbury Winthrop Shaw Pittman LLP

SEC Expands Universe of “Accredited Investors”

An expanded universe of individuals and entities will be able to participate as “accredited investors” in securities offerings as a result of recent SEC rulemaking. The SEC has expanded its definition of “Accredited...more

Jones Day

SEC Adopts Updates to Proxy Voting Advice Regime

Jones Day on

The Situation: On July 22, 2020, the U.S. Securities and Exchange Commission ("SEC") adopted final rule amendments to regulate proxy voting advice as part of its emphasis on modernizing the proxy process. The final SEC...more

BCLP

Proposition 65 – OEHHA Proposes Safe Harbor Concentrations and Blanket Protections for Exposures to Acrylamide and Other Listed...

BCLP on

Acrylamide in food products has been one of the most significant drivers for recent Proposition 65 enforcement actions, frustrating many in the food industry, particularly because acrylamide is not added to those products....more

Akin Gump Strauss Hauer & Feld LLP

SEC Proposes Changes to Rules Governing Integration of Exempt Offerings and General Solicitation

On March 4, 2020, the Securities and Exchange Commission (SEC) published a release entitled “Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets” (the...more

Dorsey & Whitney LLP

New SEC Proposed Amendments Seek to Improve and Harmonize Private Offering Exemptions

Dorsey & Whitney LLP on

On March 4, 2020, the Securities and Exchange Commission (the “Commission”) proposed amendments to the private offering exemptive framework under the Securities Act of 1933, as amended (the “Securities Act”) to “simplify,...more

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