Bobby Bee

Orrick, Herrington & Sutcliffe LLP

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SEC Finalizes Beneficial Ownership Rule Amendments

The SEC has adopted amendments to the beneficial ownership rules under Sections 13(d) and 13(g) of the Securities and Exchange Act. When the amendments take effect, they will accelerate filing deadlines, incrementally clarify...more

10/20/2023 / Beneficial Owner , Derivatives , Filing Deadlines , Filing Requirements , Reporting Requirements , Schedule 13D , Securities and Exchange Commission (SEC)

What You Need to Know About the SEC’s Amendments to Enhance Investor Protections Concerning Insider Trading

During an open meeting held December 14, 2022, the SEC voted unanimously in favor of adopting changes to the rules governing insider trading defenses, including amendments to Rule 10b5-1 under the Securities Exchange Act of...more

12/19/2022 / 10b5-1 Plans , Affirmative Defenses , Beneficial Owner , Defense Strategies , Disclosure Requirements , New Rules , Regulation S-K , Securities and Exchange Commission (SEC) , Securities Regulation

What You Need to Know About the SEC's Final Clawback Rules

On October 26, 2022, the Securities and Exchange Commission (“SEC”) adopted final rules, first proposed by the SEC in 2015, requiring the recoupment of erroneously awarded incentive compensation received by current and former...more

11/3/2022 / Beneficial Owner , Clawbacks , Financial Reporting , Incentive Compensation , Listing Standards , Reporting Requirements , Securities and Exchange Commission (SEC) , Securities Exchange Act

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