In 2023, the Securities and Exchange Commission (the “SEC”) adopted amendments and issued guidance to modernize the rules governing beneficial ownership reporting under Sections 13(d) and 13(g) of the Securities Exchange Act...more
7/3/2025
/ Amended Regulation ,
Beneficial Owner ,
Corporate Governance ,
Disclosure Requirements ,
Equity Securities ,
Filing Deadlines ,
Filing Requirements ,
Investment Funds ,
New Guidance ,
New Regulations ,
Schedule 13D ,
Schedule 13G ,
Securities Exchange Act of 1934 ,
Securities Regulation
On December 20, 2024, the U.S. Securities and Exchange Commission (the “SEC”) announced charges against two private companies and one registered investment adviser (the “Parties”). These charges asserted that the Parties...more
1/22/2025
/ Enforcement Actions ,
Filing Requirements ,
Form D Filing ,
Investment Adviser ,
Investors ,
Privately Held Corporations ,
Regulation D ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Unregistered Securities