Officers and Directors of Foreign Private Issuers Now Subject to Section 16 Reporting Requirements
Section 16(a) reporting requirements to directors and executive officers of foreign private issuers marks a significant evolution in U.S. securities regulation. The…
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SEC Amends Rule 144 for Convertible Notes and Unregistered Dealers
On December 22, 2020, the Securities and Exchange Commission (“SEC”) voted to propose amendments to Rule 144 to eliminate tacking for shares…
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What Is SEC Form 5 – SEC Reporting Requirements- Securities Lawyer 101
Section 16 insiders must file an Annual Statement of Changes in Beneficial Ownership on Form 5 if there are any transactions in…
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What is an Annual Report on Form 10-K? Securities Lawyer 101
Form 10-K requires, item by item, disclosures by referring to specific item numbers of Regulation S-K and Regulation S-X. Sarbanes-Oxley Act requires…
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Schedule 13D and 13G Filing Requirements Securities Lawyer 101 Q&A
The Exchange Act requires beneficial owners of more than 5 percent of a class of equity securities of a Securities & Exchange…
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SEC Charges 28 With Insider Reporting Failures
The Securities and Exchange Commission (the "SEC") announced enforcement actions and penalties of more than $2.6 million against 28 individual directors, officers, and…
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