Cam Hoang

1 month ago | jdsupra.com | Josh Erekson |Cam Hoang |Dan Lyman

On February 11, 2025, the Securities and Exchange Commission Division of Corporate Finance (Corp Fin) posted two Compliance and Disclosure Interpretations (C&DIs): revised Question 103.11 and new Question 103.12 related to a beneficial owner’s eligibility to report their greater than 5% holdings of a publicly traded company’s securities on Schedule 13D versus Schedule 13G under Exchange Act Sections 13(d) and 13(g) and related Rule 13d-1.

Sep 21, 2023 | jdsupra.com | Cam Hoang

Beginning with quarters ending on or after October 1, 2023, most US-listed issuers will be required to make more extensive disclosures on their share repurchase programs and insider transactions proximate to a program’s announcement. The Securities and Exchange Commission (the “SEC”) adopted final rules for these disclosures.

Jun 13, 2023 | jdsupra.com | Cam Hoang

NYSE, NYSE American and Nasdaq have postponed the effective date of the proposed clawback listing standards, so they would take effect on October 2, 2023, and issuers would be required to adopt compliant clawback policies by December 1, 2023. Furthermore, the SEC has granted accelerated approval of each exchange’s proposal, as amended. The amendments have not changed the substantive requirements for a clawback policy.