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SEC Adopts Amendments to Rule 10b5-1 Plan Requirements and Increases Disclosure Requirements Regarding Insider Trading Policies

USA - December 27 2022 On December 14, the Securities and Exchange Commission (SEC) unanimously adopted amendments to Rule 10b5-1 and related regulations governing "10b5-1…

Matthew S. Brown, Vlad M. Bulkin, Farzad Damania, Chris Harrison, Timothy J. Kirby, Lawrence D. Levin, Michelle Mount, Jeffrey R. Patt, Alyse A. Sagalchik, Jonathan D. Weiner, Mark D. Wood

Other Recent Developments

USA - December 22 2022 On December 14, the Securities and Exchange Commission (SEC) adopted amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 and new…

SEC Adopts Mandatory Rules for Clawing Back Incentive-Based Compensation: Questions and Answers for Public Companies and Best Practices

USA - November 17 2022 On October 26, the Securities and Exchange Commission (SEC) adopted long-delayed rules which will require companies to implement mandatory "clawback"…

Peter Dalmasy, Timothy J. Kirby, Mitch Pahl, Mark D. Wood

Financial Markets and Funds Quick Take | Issue 4

USA - July 19 2022 The Securities and Exchange Commission (SEC) has adopted amendments requiring investment advisers, institutional investment managers and other…

Vlad M. Bulkin, Wendy E. Cohen, Julie L. Gottshall, Richard D. Marshall, Robert Weiss, Allison C. Yacker

SEC Proposes Additional ESG Disclosure Requirements for Regulated Funds and Related Expansion of Investment Company Act "Names Rule"

USA - June 23 2022 The Securities and Exchange Commission (SEC) recently proposed two sets of rule amendments impacting BDCs and registered investment…

Vlad M. Bulkin, Richard D. Marshall, Allison C. Yacker