Securities and Exchange Commission (SEC), Beneficial Owner, Amended Regulation

SEC's Corp. Fin. Amends CDIs Related to Regulation 13D-G Reporting Rules

Fenwick & West LLP on 7/15/2025

On July 11, the SEC’s Division of Corporation Finance amended 18 Compliance and Disclosure Interpretations relating to Regulation 13D-G, which pertains to beneficial ownership reporting rules. These amendments bring the...more

SEC Adopts Amendments to Beneficial Ownership Reporting Rules

Husch Blackwell LLP on 1/31/2024

On October 10, 2023, the Securities and Exchange Commission (SEC) adopted amendments to the reporting requirements relating to beneficial ownership. As outlined below, the amendments (i) shorten the deadlines to file for...more

SEC Adopts Amendments to 13D/G Beneficial Ownership Requirements

Latham & Watkins LLP on 10/12/2023

On October 10, 2023, the SEC adopted amendments to shorten the filing deadlines for initial and amended beneficial ownership reports on Schedules 13D and 13G. The amendments will generally take effect no earlier than January...more

SEC Reopens Comment Period for Proposed Amendments to Beneficial Ownership Reporting Rules

Wilson Sonsini Goodrich & Rosati on 5/1/2023

On April 28, 2023, the U.S. Securities and Exchange Commission (SEC) reopened the comment period for its rulemaking proposal, Modernization of Beneficial Ownership Reporting, through the later of 30 days after the reopening...more

Interview: SEC Changes Would Let You Know More About Your Shareholders

Skadden, Arps, Slate, Meagher & Flom LLP on 3/1/2022

It has been more than 50 years since the Securities and Exchange Commission (SEC) adopted its beneficial ownership reporting rules, which require investors who buy more than a 5% stake in a company to disclose their holding...more

SEC Proposes Rules for Shorter Deadlines and More Transparency in Share Ownership Reporting

Fenwick & West LLP on 2/17/2022

On February 10, 2022, the U.S. Securities and Exchange Commission issued a proposal (Proposed rules: Modernization of Beneficial Ownership Reporting) that would amend Regulation 13D-G under the Securities Exchange Act of 1934...more

SEC Adopts Final Auditor Independence Loan Rule

Faegre Drinker Biddle & Reath LLP on 7/9/2019

On June 18, 2019, the Securities and Exchange Commission (“SEC”) adopted final amendments to Rule 2-01(c)(1)(ii)(A) of Regulation S-X (the “Loan Rule”) to clarify the analysis that must be conducted to determine whether an...more

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