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Filing Requirements Enforcement Actions Corporate Governance

Paul Hastings LLP

Public Company Watch: Q2 2025

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This edition of the Public Company Watch highlights critical updates and regulatory changes affecting public companies. Staying informed on these topics is crucial for effective compliance and strategic planning....more

Cooley LLP

Capital Markets Update – March 2025 One-Minute Reads

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New C&DIs related to Reg A and Reg D - On March 12, the Securities and Exchange Commission (SEC) Division of Corporation Finance (Corp Fin) issued new and updated compliance and disclosure interpretations (C&DIs) under...more

Morrison & Foerster LLP

Off Again, On Again: The CTA Revived

Key Takeaway: Following a court decision on February 18, 2025, the Corporate Transparency Act’s (CTA) beneficial ownership reporting requirements are once again in effect. Most companies will have until Friday, March 21,...more

Fenwick & West LLP

Securities Law Update - November 2024

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Welcome to the latest edition of Fenwick’s Securities Law Update....more

BCLP

SEC Penalizes Late Filings in Broad Enforcement Sweep Using Data Analytics

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Last week, the SEC announced settled charges against 23 companies and individuals for failing to timely file Section 16 reports on Forms 3, 4 or 5. Additionally, two public companies were charged for contributing to late...more

Fenwick & West LLP

SEC Enforcement Sweep for Late Sections 13 and 16 Reports

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On September 25, the Securities and Exchange Commission (SEC) announced that it had charged 23 entities and individuals for failure to timely file Schedules 13D and 13G reports and Forms 3, 4, and 5. The SEC also charged two...more

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