Securities and Exchange Commission (SEC), Filing Deadlines, Deadlines

Reminder: Renewal and Notice Filing Fees for Investment Advisers due by December 9, 2024

Foley Hoag LLP on 12/6/2024

As a reminder, investment advisers who are subject to any state registration, renewal or notice filing fees must have funded their IARD accounts by December 9, 2024 in order to cover such fees (with a recommendation from IARD...more

Capital Markets - 2025 SEC Filing Deadlines and Financial Statement Staleness Dates

Skadden, Arps, Slate, Meagher & Flom LLP on 10/31/2024

Our guide to 2025 SEC filing deadlines and financial statement staleness dates is now available. Public companies should factor in these key reporting deadlines, disclosure obligations and SEC holidays as they plan for the...more

Securities Law Update - September 2024

Fenwick & West LLP on 9/20/2024

Welcome to the latest edition of Fenwick’s Securities Law Update. This issue contains updates and important reminders on...more

Client Alert - SEC Issues Final Rules Modernizing Section 13(d) and (g) Beneficial Ownership Reporting

Seward & Kissel LLP on 10/24/2023

On October 10, 2023, the U.S. Securities and Exchange Commission (the “SEC”) issued its final rules modernizing beneficial ownership reporting under Sections 13(d) and (g) of the Securities Exchange Act of 1934 (the “Exchange...more

Deadline for Reg BI and Form CRS Compliance Remains on Track

Alston & Bird on 4/3/2020

Our Financial Services & Products Group reports on the Securities and Exchange Commission’s decision not to grant an extension for complying with Regulation Best Interest and Form CRS despite the coronavirus pandemic. -...more

MCDC Issuer Deadline is December 1. Are You Prepared?

Ballard Spahr LLP on 10/14/2014

The deadline for municipal issuers and obligated persons to self-report to the Securities and Exchange Commission (SEC) under its Municipal Continuing Disclosure Compliance (MCDC) Initiative any recent misstatements in...more