Securities Law Firm

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Securities Law Firm

SEC Section 16 Filings

SEC Section 16 Filings- Under Section 16, every person who is an insider, including officers, directors and 10% shareholders, must f...
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Securities Law Firm

Schedule 13G Instructions

Schedule 13G Instructions- Today I am continuing my discussion of Section 13 and in particular Schedule 13G. Section 13 requires tha...
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Securities Law Firm

Section 4(a)(1) Exemption

Section 4(a)(1) Exemption- Just like for an issuer, when a shareholder sells or transfers shares that sale or transfer must either b...
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Securities Law Firm

Schedule 13D Instructions

Schedule 13D Instructions- Section 13 requires that any person that has acquired, either directly or indirectly, more than 5% of the...
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Securities Law Firm

SEC Reporting Requirements

SEC Reporting Requirements- Today is the continuation in a Lawcast series discussing SEC disclosure requirements and in particular t...
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Securities Law Firm

SEC Disclosure Requirements

SEC Disclosure Requirements- Today is the second Lawcast in a series discussing SEC disclosure requirements. As mentioned in the las...
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Securities Law Firm

Super 8-K Filing Requirements

Super 8-K Filing Requirements- A “Super 8-K” is an industry term used for an 8-K filed under Item 2.01 for the completion of a trans...
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Securities Law Firm

Schedule 13D

Schedule 13D- Section 13 requires that any person that has acquired, either directly or indirectly, more than 5% of the beneficial o...
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Securities Law Firm

SEC Fall 2021 Regulatory Agenda

SEC Fall 2021 Regulatory Agenda- In mid-December, the SEC published its semiannual regulatory agenda and plans for rulemaking. The U...
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