Securities and Exchange Commission (SEC), CDIs, Corporate Governance

Spring Cleaning for Corp Fin’s Rule 10b5-1 CDIs

Cooley LLP on 5/8/2025

Last week, Corp Fin did some spring cleaning in the Rule 10b5-1 area by adding two new CDIs, revising 20 CDIs, and withdrawing three CDIs so they better jibe with the amendments to Rule 10b5-1 in 2022....more

SEC Updates CDIs on Schedules 13D and 13G Eligibility

Fenwick & West LLP on 3/28/2025

The SEC published updated Compliance and Disclosure Interpretations on the filing of Schedules 13D and 13G/Shareholder Engagement....more

Securities Law Update - March 2025

Fenwick & West LLP on 3/19/2025

Welcome to the latest edition of the Fenwick Securities Law Update. This issue contains updates and important reminders on...more

Corp Fin Updates CDIs on Beneficial Ownership Reporting

Wilson Sonsini Goodrich & Rosati on 2/14/2025

On February 11, 2025, the SEC’s Division of Corporation Finance (Corp Fin) updated its Compliance and Disclosure Interpretations (CDIs) relating to Regulation 13D-G beneficial ownership reporting by revising Question 103.11...more

SEC Staff Publishes New Guidance for Handling Cybersecurity Incidents

BCLP on 6/25/2024

On June 24, 2024, the SEC’s Division of Corporation Finance published five additional interpretations (CDIs) addressing the effect of ransomware payments on the obligation of companies to report material cybersecurity...more

Time to Get Ready for the 2024 Reporting Season

BCLP on 10/3/2023

As companies look ahead to the upcoming proxy and annual report season, the SEC has generated a number of new items to add to your compliance checklist – in addition to those covered in last year's list. Those items, along...more