News & Analysis as of

Stock Options Securities and Exchange Commission (SEC) Restricted Stocks

Groom Law Group, Chartered

New SEC T+1 Rule Further Tightens Payroll Deposit Timeline for Stock Options and RSUs

Employers who compensate employees through nonqualified stock options or restricted stock units (“RSUs”) should be aware of an upcoming Securities and Exchange Commission (“SEC”) rule change affecting the settlement of...more

Hogan Lovells

SEC increases Rule 701 disclosure threshold and issues concept release on updating compensatory offering rules

Hogan Lovells on

The SEC recently amended Securities Act Rule 701, which provides a registration exemption for securities sold by non-reporting companies to their employees and other covered persons under compensatory arrangements. The...more

Harris Beach PLLC

SEC Amendment to Rule 701 May Expand the Use of Equity Compensation by Private Companies

Harris Beach PLLC on

The Congressionally-mandated amendment aims to ease the disclosure burdens of private companies that grant compensatory stock to employees. Grants of securities to employees, including stock options, restricted stock and...more

Dorsey & Whitney LLP

Common U.S. Securities Problems with Canadian Stock-Based Compensation Plans

Dorsey & Whitney LLP on

We are frequently asked to review Canadian companies’ stock option, restricted share unit (RSU), performance share unit (PSU), deferred share unit (DSU), and other stock-based compensation plans for U.S. securities law...more

Fenwick & West LLP

SEC's Latest Guidance Clarifies Rule 701 Disclosure Delivery Requirements

Fenwick & West LLP on

The U.S. Securities and Exchange Commission (SEC) on November 6, 2017, clarified the requirements for delivering financial and other disclosures to employees and other service providers receiving options and other equity...more

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