Securities Alert – New Disclosure in Upcoming SEC Filings
The SEC has adopted a number of substantive new rules that will require new disclosures as soon as December 18, 2023 for material cybersecurity incidents on Form 8-K.
Securities Alert – The SEC Adopts Amendments to Beneficial Ownership Reporting
On October 10, 2023, the SEC adopted final rules governing beneficial ownership reporting under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934. These sections, along with Regulations 13D and 13G, require an investor who beneficially owns more than 5% of a covered class of equity securities to publicly file either a Schedule 13D (investors with control intent) or a Schedule 13G (investors without a control intent).
Securities Alert – SEC Approves Public Company Cybersecurity Disclosure Requirements
The rule, proposed in March 2022, includes requirements about current disclosure of material cybersecurity incidents, and periodic disclosures about a registrant’s processes to assess, identify, and manage material cybersecurity risks.
Securities Alert – The SEC Adopts New Buyback Disclosure Rules
Given the expected increase in scrutiny of issuer buybacks, we recommend that companies consider taking some or all of the actions noted in this Alert before the fourth quarter of this year.
Securities Alert – The SEC’s New Clawback Rules for Erroneously Awarded Compensation
What should companies be doing now?
Securities Alert – SEC Adopts New Disclosure Requirements for “Pay Versus Performance”
Set to go into effect on October 11, 2022, new Item 402(v) requires companies to make these disclosures in proxy statements and information statements for fiscal years ending on or after December 16, 2022, thus greatly impacting the 2023 proxy season.
Securities Alert – SEC Proposes Amendments to Share Repurchase Disclosure Rules and to Rule 10b5-1 Insider Trading Plans
Update regarding the SEC's proposed amendments.
Securities Alert – SEC Proposed Rule Amendments to Modernize Beneficial Ownership Reporting
This proposal represents the most significant alterations to the rules governing beneficial ownership reporting since their adoption.