SEC Adopts Final Rules Permitting

SEC Adopts Final Rules Regarding 10b5-1 Trading Plans and ...

On December 14, 2022, the U.S. Securities and Exchange Commission (“SEC”) adopted final rules (1) adding new conditions applicable to Rule ...

SEC Adopts Final Rules on Cybersecurity Disclosure

At an open meeting on Wednesday last week, the SEC voted, three to two, to adopt final rules on cybersecurity disclosure.

SEC Adopts Amendments to Regulation S-P - Paul Hastings LLP

The final amendments (the “Final Amendments”), which were originally proposed in March 2023, are intended to modernize and enhance the ...

Regulation S-P: Privacy of Consumer Financial Information and ...

The Securities and Exchange Commission ("Commission" or "SEC") is adopting rule amendments that will require brokers and dealers (or ...

SEC Adopts Final Pay-for-Performance Disclosure Rule - O'Melveny

On August 25, 2022, the SEC adopted final rules requiring reporting companies to disclose the relationship between executive pay and company ...

SEC Adopts Amendments to Rule 10b5-1 | White & Case LLP

New requirement: The final rule limits the availability of the affirmative defense for all persons other than issuers to one single-trade plan ...

SEC Adopts Mandatory Exhibit Hyperlinks and HTML Format Rules

The Securities and Exchange Commission has adopted final rules that will require companies to include active hyperlinks to exhibits in most registration ...

SEC adopts final rule on investment companies' use of derivatives

The SEC also amended ICA Rule 6c-11 (entitled "Exchange-Traded Funds") to permit certain leveraged or inverse ETFs to operate without receiving ...

Understanding the SEC Final Rules vacated by the Fifth Circuit

There were two legislative foundations permitting the adoption of the Final Rules, as follows: Section 913(h) of the Dodd-Frank Act, also known ...

U.S. SEC Adopts Amendments to Rule 10b5-1 and Requires ...

The amendments adopted by the SEC: ... The final amendments will be effective 60 days following publication of the Adopting Release in the Federal ...

SEC Adopts Final Rules to Amend Rule 504 - Partridge Snow & Hahn

If your company is raising capital by selling securities in a private offering, you'll likely need to find an appropriate securities law ...

SEC Adopts Rules to Allow Electronic Signatures for Authentication ...

On November 17, 2020, the Securities and Exchange Commission (the “SEC”) adopted amendments to Rule 302(b) of Regulation S-T, which will provide ...

Regulation Crowdfunding – the SEC adopts Final Rules for U.S. ...

The final rules and forms are effective 180 days after they are published in the Federal Register (i.e., approximately May 2016). The forms enabling internet ...

SEC adopts final rules on cybersecurity disclosure requirements for ...

The U.S. Securities and Exchange Commission (SEC) has adopted final rules regarding cybersecurity-related disclosure obligations for U.S. ...

SEC Adopts Fund of Funds Arrangements Rule - Toppan Merrill

In 2020, the SEC adopted a final rule, Securities Offering Reform for Closed-End Investment Companies, modernizing disclosure and the offering..

SEC Cybersecurity Disclosure Final Rule - KMK Law

On July 26, 2023, the Securities and Exchange Commission (“SEC”) adopted final rules, rule amendments and form amendments to expand and ...

SEC adopts long-awaited final rules for private fund advisers | BCLP

On August 23, 2023, in a 3-2 vote, the U.S. Securities and Exchange Commission (the “SEC”) adopted new rules (the “Final Rules”) under the ...

SEC Adopts Rules to Relax Registration, Communications and ...

The final package of rule and form amendments (Final Rules) will affect different categories of Affected Funds, defined in the table below, ...

SEC Adopts Final Rule on “Clawback” Policies (November 14, 2022 ...

The final rule does not permit boards to settle for less than the full recovery amount unless they satisfy the conditions demonstrating that ...

SEC Adopts Rule Amendments to Permit General Solicitation in ...

On July 10, 2013, the Securities and Exchange Commission (“SEC”) adopted final rules to eliminate the prohibition against general ...