News & Analysis as of September 21, 2024

Securities Exchange Act › Electronic Filing

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The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +

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SEC Sets Deadline for Compliance with Electronic Filing Requirements for Form 144

McGuireWoods LLP on 10/27/2022

On June 2, 2022, the U.S. Securities and Exchange Commission (SEC) adopted rule amendments that require, among other things, Forms 144 to be filed electronically using the SEC’s EDGAR system, rather than through a paper...more

Corporate Communicator – SEC Mandates Electronic Filing of “Glossy” Annual Reports

Snell & Wilmer on 8/30/2022

On June 2, 2022, the United States Securities and Exchange Commission (“SEC”) adopted amendments to Exchange Act Rule 14a-3, Form 10-K and Regulation S-T, among others, which mandate that registrants electronically submit to...more

XBRL reporting rules for BDCs come into effect as SEC adopts new electronic filing requirements

Eversheds Sutherland (US) LLP on 6/24/2022

On August 1, 2022, the SEC’s structured data reporting rules governing business development companies will become effective. These rules, which were originally adopted in April 2020, require BDCs to tag certain submissions...more

SEC Permits Use of Electronic Signatures in EDGAR Filings

McGuireWoods LLP on 12/29/2020

On Nov. 17, 2020, the U.S. Securities and Exchange Commission (SEC) announced the adoption of final rules amending Rule 302 of Regulation S-T to permit the use of electronic signatures, along with conforming changes to...more

SEC Votes to Adopt Rule Amendments in Order to Facilitate Electronic Submission of Documents

Akin Gump Strauss Hauer & Feld LLP on 12/3/2020

On November 17, 2020, the Securities and Exchange Commission (SEC) voted to adopt amendments to Regulation S-T and the Electronic Data Gathering, Analysis and Retrieval system (EDGAR) Filer Manual (EDGAR Filer Manual) to...more

SEC Adopts Rules To Allow Use of Electronic Signatures

Skadden, Arps, Slate, Meagher & Flom LLP on 11/24/2020

On November 17, 2020, the Securities and Exchange Commission (SEC) adopted amendments to Rule 302(b) of Regulation S-T (Rule 302(b)), which permits registrants and others to use electronic signatures in documents...more

SEC Requires Public Companies to Hyperlink Exhibits Beginning September 1, 2017

Mintz - Securities & Capital Markets... on 3/30/2017

Public companies will soon be required to include an active hyperlink to each exhibit to all registration statements filed under the Securities Act of 1933, as amended, and all periodic and current reports filed under the...more

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

Akin Gump Strauss Hauer & Feld LLP on 3/14/2017

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

Do You Know Where Your Manually Signed Signature Pages Are?

Dorsey & Whitney LLP on 9/17/2015

On September 8, 2015, the Securities and Exchange Commission settled an enforcement action against a company for, among other violations, a failure to manually sign and retain signature pages, as required by Rule 302 of...more

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Securities Exchange Act › Electronic Filing

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