News & Analysis as of August 11, 2025

Publicly-Traded Companies

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SEC Expands Nonpublic Review Process for Draft Registration Statements

K&L Gates LLP on 3/18/2025

On 3 March 2025, the Division of Corporation Finance of the Securities and Exchange Commission (the SEC) announced that it is expanding the scope of availability for companies to submit draft registration statements for...more

SEC staff expands availability of nonpublic registration statement review process

Hogan Lovells on 3/12/2025

On March 3, the SEC’s Division of Corporation Finance announced that it has expanded the availability of the nonpublic review process for registration statements under which issuers may voluntarily submit draft Securities Act...more

SEC Expands Confidential Submission Options for Issuers to Facilitate Capital Raising

Sullivan & Worcester on 3/11/2025

On March 3, 2025, the U.S. Securities and Exchange Commission (SEC) announced expanded accommodations for issuers submitting draft registration statements for nonpublic review. These enhancements are intended to facilitate...more

SEC Division of Corporation Finance Expands Confidential Review Accommodations for Draft Registration Statements

Katten Muchin Rosenman LLP on 3/10/2025

On March 3, 2025, the staff of the Securities and Exchange Commission's (SEC) Division of Corporation Finance (the Division) announced that it enhanced certain existing accommodations under the Jumpstart Our Business Startups...more

SEC Expands Accommodations for Issuers Submitting Draft Registration Statements

Mayer Brown Free Writings + Perspectives on 3/7/2025

On March 3, 2025, the Staff of the Division of Corporation Finance of the Securities and Exchange Commission (the “SEC”) announced a new policy, with immediate effect, expanding the accommodations available for issuers that...more

SEC Reporting Obligations Under Section 13 and Section 16 of the Exchange Act - UPDATED February 2025

Paul Hastings LLP on 2/11/2025

This legal update summarizes (a) the reporting requirements under Section 13(d), (f), (g) and (h) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), which are generally applicable to persons that own or...more

Updating Your Description of Securities Exhibit

Perkins Coie on 9/9/2024

As summer turns into fall and in-house lawyers start thinking ahead to the upcoming 10-K filing season, we’re often asked to review and update the description of securities exhibit(s) required to be filed with Form 10-K by...more

Annual Meeting Filing and Disclosure Requirements

Skadden, Arps, Slate, Meagher & Flom LLP on 3/26/2021

When finalizing proxy materials for annual shareholder meetings, companies should consider the following Securities and Exchange Commission (SEC) rules and related guidance, as well as stock exchange listing standards and...more

COVID-19 Relief—A Public Company Quick Reference Guide

Foley Hoag LLP on 3/23/2020

Order Under Section 36 of the Securities Exchange Act of 1934 Granting Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder - Q: Who is eligible for additional time to make required SEC...more

SEC Proposes Rule Amendments to Enhance Regulation of Proxy Advisers

White & Case LLP on 11/22/2019

On November 5, 2019, the Securities and Exchange Commission (“SEC”) proposed amendments to the federal proxy rules that would enhance the SEC’s regulation of proxy advisory firms.1 The proposed amendments to Rules 14a-1,...more

Filed v. Furnished, What’s the Difference?

Sullivan & Worcester on 9/19/2017

When disclosing information in a filing with the SEC, it is important to know whether such disclosure and any related exhibits should be "filed" or "furnished". To non-lawyers, this may seem like semantics or another...more

Get Ready for Mandatory SEC Exhibit Hyperlinks Beginning September 1

Perkins Coie on 8/22/2017

The Securities and Exchange Commission’s final rules requiring hyperlinking of exhibits to SEC filings will be effective for most public companies on September 1, 2017. This update summarizes the final rules, answers the top...more

SEC Requires Public Companies to Hyperlink Exhibits Beginning September 1, 2017

Mintz - Securities & Capital Markets... on 3/30/2017

Public companies will soon be required to include an active hyperlink to each exhibit to all registration statements filed under the Securities Act of 1933, as amended, and all periodic and current reports filed under the...more

Junior Associates Rejoice: SEC Adopts Rule and Form Amendments to Require Registrants to Hyperlink Exhibits Listed in Filings and...

Akin Gump Strauss Hauer & Feld LLP on 3/14/2017

One of the typical activities for junior associates in performing due diligence for M&A and securities transactions involving public companies is going through the “exhibit list” filed by the public company on its recent...more

SEC Charges Insiders for Violations of Section 16(a) and Section 13

Foley & Lardner LLP on 9/17/2014

On September 10, 2014, the Securities and Exchange Commission announced charges against 28 officers, directors, and major shareholders for violating federal securities laws requiring them to report information about their...more

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