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Schedule 13D and 13G Filing Requirements for Public Company Shareholders
A public company with a class of securities registered under Section 12 or which is subject to Section 15(d) of the Securities Exchange Act of 1934, as amended (“Exchange Act”) must file reports with...
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SEC Files Dozens of Charges for Violations of the Section 16 and Section 13...
Introduction On September 10, 2014, the SEC filed 28 separate actions against officers, directors and major shareholders and an additional 6 actions against reporting companies, all stemming from...
View ArticleSection 16 Insider Reporting and Potential Liability for Short-Swing Trading...
A public company with a class of securities registered under Section 12 or which is subject to Section 15(d) of the Securities Exchange Act of 1934, as amended (“Exchange Act”) must file reports with...
View ArticleSEC Small Business Advisory Committee Public Company Disclosure Recommendations
On September 23, 2015, the SEC Advisory Committee on Small and Emerging Companies (the “Advisory Committee”) met and finalized its recommendation to the SEC regarding changes to the disclosure...
View ArticlePublic Company SEC Reporting Requirements
A public company with a class of securities registered under either Section 12 or which is subject to Section 15(d) of the Securities Exchange Act of 1934, as amended (“Exchange Act”) must file...
View ArticleWill the Disclosure Modernization and Simplification Act of 2014 Simplify...
ABA Journal’s 10th Annual Blawg 100 —————————————————————————————————— In early December the House passed the Disclosure Modernization and Simplification Act of 2014, which will now go to the Senate...
View ArticlePublic Company SEC Reporting Requirements
A public company with a class of securities registered under either Section 12 or which is subject to Section 15(d) of the Securities Exchange Act of 1934, as amended (“Exchange Act”) must file...
View ArticleSchedule 13D and 13G Filing Requirements for Public Company Shareholders
ABA Journal’s 10th Annual Blawg 100 ————————————————————————————————- A public company with a class of securities registered under Section 12 or which is subject to Section 15(d) of the Securities...
View ArticleSection 16 Insider Reporting and Potential Liability for Short-Swing Trading...
A public company with a class of securities registered under Section 12 or which is subject to Section 15(d) of the Securities Exchange Act of 1934, as amended (“Exchange Act”) must file reports with...
View ArticleSEC Files Dozens of Charges for Violations of the Section 16 and Section 13...
ABA Journal’s 10th Annual Blawg 100 —————————————————————————————————— Introduction On September 10, 2014, the SEC filed 28 separate actions against officers, directors and major shareholders and an...
View ArticleWill the Disclosure Modernization and Simplification Act of 2014 Simplify...
ABA Journal’s 10th Annual Blawg 100 —————————————————————————————————— In early December the House passed the Disclosure Modernization and Simplification Act of 2014, which will now go to the Senate...
View ArticleSEC Small Business Advisory Committee Public Company Disclosure Recommendations
On September 23, 2015, the SEC Advisory Committee on Small and Emerging Companies (the “Advisory Committee”) met and finalized its recommendation to the SEC regarding changes to the disclosure...
View ArticleSection 13 – Beneficial Shareholder Reporting Requirements – Part 1
Barely two weeks after the SEC charged six officers, directors and five percent (5%) or greater shareholders with failing to timely file reports, the SEC adopted final amendments to Sections 13(d) and...
View ArticleSection 13 – Beneficial Shareholder Reporting Requirements – Part II
As discussed last week, the SEC has adopted final amendments to Sections 13(d) and 13(g) of the Securities Exchange Act of 1934 (“Exchange Act”). The amendments were first proposed in February, 2022 –...
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