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Preparing for the 2023 Proxy Season

USA - December 27 2022 Public companies need to consider recent developments when preparing for the 2023 proxy and annual reporting season. We summarize key regulatory…

Leemor Banai, John Hensley, David M. Lynn

U.S. SEC Adopts Amendments to Rule 10b5-1 and Requires Related Disclosures

USA - December 22 2022 On December 14, 2022, the U.S. Securities and Exchange Commission (the SEC) adopted amendments to the affirmative defense in Rule 10b5-1(c) under the…

Michael D. Birnbaum, Jina Choi, David M. Lynn, Haimavathi V. Marlier

U.S. SEC proposes amendments to beneficial ownership reporting rules

USA - February 24 2022 On February 10, 2022, the U.S. Securities and Exchange Commission (the SEC) proposed amendments[1] to the rules governing beneficial ownership…

Spencer D. Klein, David M. Lynn

Margin loans and former SPACs: Rules 144 and 145 impose important additional requirements on resales of securities

United Kingdom - January 14 2022 This article focuses on complications arising under the Securities Act of 1933, as amended (“Securities Act”), relating to de-SPACed public companies…

David M. Lynn, Vladimir Maly, John T. Owen

U.S. SEC Proposes Amendments Regarding Rule 10b5-1 Plans and Related Disclosures

USA - December 16 2021 On December 15, 2021, the U.S. Securities and Exchange Commission (the SEC) proposed amendments to the affirmative defense in Rule 10b5-1(c) under…

Michael D. Birnbaum, Jina Choi, David M. Lynn