Alan Dye

Hogan Lovells

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SEC staff updates guidance on Section 13 beneficial ownership reporting rules

The SEC’s Division of Corporation Finance recently issued 18 revised Compliance and Disclosure Interpretations (C&DIs) relating to Exchange Act Sections 13(d) and 13(g) and Regulation 13D-G under the Exchange Act. This...more

8/1/2025 / Beneficial Owner , C&DIs , Disclosure Requirements , Regulatory Requirements , Reporting Requirements , Schedule 13D , Schedule 13G , Section 13 , Securities and Exchange Commission (SEC) , Securities Exchange Act of 1934

SEC enforcement targets beneficial ownership reporting violations - SEC Update

On September 25, the SEC announced that it had initiated and simultaneously settled cease-and-desist proceedings against 23 individuals and companies charged with violations of Exchange Act provisions and SEC rules that...more

11/13/2024 / Beneficial Owner , Disclosure Requirements , Form 10-K , Regulation S-K , Reporting Requirements , Securities and Exchange Commission (SEC)

Mandatory compliance nears for remaining Section 13 reporting requirements - SEC Update

The last two mandatory compliance dates under the SEC’s amendments to Exchange Act Regulation 13D-G adopted in October 2023 are fast approaching. We discussed the amendments in our SEC Update available here. Beginning on...more

9/12/2024 / Beneficial Owner , Reporting Requirements , Schedule 13D , Schedule 13G , Securities and Exchange Commission (SEC) , Securities Regulation

SEC proposes modernization of beneficial ownership reporting rules under Exchange Act Section 13

The SEC recently published its long-awaited proposal to amend Regulation 13D-G under the Exchange Act to modernize the SEC’s requirements for reporting beneficial ownership of securities. The SEC expects that the proposed...more

3/18/2022 / Beneficial Owner , Comment Period , Proposed Amendments , Publicly-Traded Companies , Reporting Requirements , Schedule 13D , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Regulation

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