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SEC Adopts Significant Changes to Rule 10b5-1 Affecting Trading by Insiders

The US Securities and Exchange Commission (SEC) on December 14, 2022, finalized amendments to Rule 10b5-1 that will both amend the Rule 10b5-1(c)(1) affirmative defense to insider trading liability and create new disclosure...more

12/23/2022 / 10b5-1 Plans , Affirmative Defenses , Corporate Governance , Disclosure Requirements , Insider Trading , Material Nonpublic Information , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Regulation

SEC Proposes Amendments to Beneficial Ownership Reporting Rules

The US Securities and Exchange Commission proposed amendments on February 10 with respect to reporting beneficial ownership on Schedules 13D and 13G that, if adopted as proposed, would significantly shorten the period for...more

2/16/2022 / Beneficial Owner , Institutional Investors , Proposed Amendments , Reporting Requirements , Schedule 13D , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Regulation

SEC Proposes Rules for Security-Based Swaps Prohibiting Fraud and Manipulation

The US Securities and Exchange Commission proposed new rules on December 15, 2021, with respect to security-based swaps that, if adopted as proposed, would prohibit fraud and manipulation, require reporting of large...more

12/21/2021 / Chief Compliance Officers , Major Swap Participants , New Rules , Proposed Rules , Securities Act of 1933 , Securities and Exchange Commission (SEC) , Securities Exchange Act , Security-Based Swaps , Swap Dealers , Swaps

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