Weston Gaines

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 staff revives former guidance on shareholder proposals raising social policy issues

On February 12, the SEC’s Division of Corporation Finance issued Staff Legal Bulletin No. 14M (SLB 14M) to update its guidance on the “economic relevance” and “ordinary business” exclusions in Exchange Act Rule 14a-8, which...more

2/28/2025 / Corporate Governance , Disclosure Requirements , Environmental Social & Governance (ESG) , Final Guidance , Publicly-Traded Companies , Regulatory Requirements , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Regulation , Shareholders

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)

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