ArticleSEC Permits Late Filing Of Form ADV Due To COVID-19On March 13, 2020, the Securities and Exchange Commission (SEC) issued an order that provides relief to registered investment ...United StatesCorporate/Commercial LawAkin
ArticleSEC Postpones Decision On CAT Revised Funding ModelThe SEC extended the time to consider a proposed amendment to the Consolidated Audit Trail ("CAT") National Market System Plan.United StatesCorporate/Commercial LawHogan Lovells Cadwalader
ArticleSEC Proposal Aims To Update Regulatory Framework For ETFsThe SEC proposed a new rule and form amendments to modernize the regulations surrounding exchange-traded funds (ETFs).United StatesCorporate/Commercial LawHerbert Smith Freehills Kramer LLP
ArticleSEC Proposals Regarding Private OfferingsThe SEC’s proposed changes to private offerings, including proposed changes to Form D, Form D filing requirements, and temporary requirements to submit general solicitation materials, already are generating comment. United StatesCorporate/Commercial LawMorrison Foerster
ArticleSEC Proposes 4-Day Breach Reporting RuleUnder the US Securities and Exchange Commission's proposed rule, publicly traded companies will have four days to report 'material cybersecurity incidents'.United StatesCorporate/Commercial LawCooley LLP
ArticleSEC Proposes Amendment To Require Inline XBRL Filing Of Tagged DataThe SEC proposed an amendment that would require submissions by public companies of their financial statements and mutual funds of their risk/return summaries to use the Inline eXtensible Business...United StatesCorporate/Commercial LawHogan Lovells Cadwalader
ArticleSEC Proposes Changes To Liquidity Disclosure Requirements For Open-End Investment CompaniesThe SEC proposed amendments to certain forms in order to improve the reporting and disclosure of liquidity information by registered open-end investment companies, including a new requirement...United StatesCorporate/Commercial LawHerbert Smith Freehills Kramer LLP
ArticleSEC Proposes Hyperlinks For Filing ExhibitsThe SEC has proposed rule amendments that would require companies that file registration statements and periodic and current reports to include hyperlinks to each exhibit listed in the exhibit index of their filings.United StatesCorporate/Commercial LawSullivan & Worcester
ArticleSEC Proposes Requirement That Exhibits In Filings Include HyperlinksThe SEC proposed rule and form amendments that would require registrants to include internet hyperlinks to exhibits in their filings.United StatesCorporate/Commercial LawHerbert Smith Freehills Kramer LLP
ArticleSEC Proposes Rules For Disclosure Of Hedging PoliciesOn February 9, the SEC issued proposed rules that are intended to enhance disclosure of company hedging policies for directors and employees, as mandated by Dodd-Frank. United StatesCorporate/Commercial LawOrrick
ArticleSEC Proposes Rules Requiring Companies To Adopt Clawback Policies On Executive CompensationThe proposed rules would also require disclosure of listed companies' recovery policies, and their actions under those policies. United StatesCorporate/Commercial LawOrrick
ArticleSEC Proposes Rules To Modernize Property Disclosures For Mining RegistrantsOn June 16, 2016, the Securities and Exchange Commission announced that it had proposed rules to update the disclosure requirements for mining properties.United StatesCorporate/Commercial LawOrrick
ArticleSEC Proposes T+2 For Settling Securities TransactionsThe SEC has proposed a rule amendment to shorten the standard settlement cycle for most broker-dealer securities transactions...United StatesCorporate/Commercial LawSullivan & Worcester
ArticleSEC Proposes That Filings Include Hyperlinks To ExhibitsThe SEC proposed that issuers would be required to include hyperlinks to their exhibits in their filings with the goal of making it easier to locate documents that are filed as exhibits.United StatesCorporate/Commercial LawA&O Shearman
ArticleSEC Provides Additional Analysis Related To Proposed Pay Ratio Disclosure RulesOn June 4, the Securities and Exchange Commission provided additional analysis related to its proposed rules for pay ratio disclosure.United StatesCorporate/Commercial LawOrrick
ArticleSEC Provides Guidance On Programming Changes To The EDGAR SystemThe SEC Division of Corporation Finance provided guidance to issuers of ABS regarding certain programming changes to the EDGAR system that have been made to support recently adopted revisions...United StatesCorporate/Commercial LawHogan Lovells Cadwalader
ArticleSEC Provides Interpretive Guidance On IPO ProceduresThe SEC Division of Corporation Finance provided interpretive guidance that confirmed that a registered broker-dealer and investment adviser's proposed procedures...United StatesCorporate/Commercial LawHogan Lovells Cadwalader
ArticleSEC Publishes Technical Corrections To Regulation AB IIOn February 4, the SEC released certain technical corrections to rules that were published in the Federal Register on September 24, 2014.United StatesCorporate/Commercial LawOrrick
ArticleSEC Re-Opens Comment Period For Regulation D ProposalOn September 27, 2013, the SEC published Release No. 33-9458 to re-open the comment period for its proposed amendments to Regulation D, Form D and Securities Act Rule 156. United StatesCorporate/Commercial LawMorrison Foerster
ArticleSEC Reduces Settlement Cycle For Securities TradesBoth SEC commissioners voted to modernize regulations that require stock and bond trades to settle within three business days, shortening that timeframe to two business days.United StatesCorporate/Commercial LawHerbert Smith Freehills Kramer LLP