Katie Klaben

Nov 1, 2023 | businesslawtoday.org | Katie Klaben |Kevin J. Campion |Thomas White |Wilmer Hale

CURRENT MONTH (October 2023)SEC Modernizes Beneficial Ownership ReportingBy: Katie Klaben and Kevin J. Campion, SidleyOn October 10, 2023, the U.S. Securities and Exchange Commission (SEC) adopted certain of its proposed changes to the rules governing beneficial ownership reporting under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934, as amended (Exchange Act), and issued guidance in lieu of adopting certain other proposed rules.

Oct 17, 2023 | lexology.com | Kevin J. Campion |Andrew Blake |Katie Klaben |Eric Kauffman |Jorge Ortiz |Azad Assadipour

On October 13, 2023, the U.S. Securities and Exchange Commission (SEC or Commission), in a 3–2 vote along party lines, adopted new Rule 10c-1a1 (Final Rule) under the Securities Exchange Act of 1934 (Exchange Act).2 Rule 10c-1a will for the first time require persons entering securities loans (or their intermediary or reporting agent, where applicable) to report specific terms of the loan to a registered national securities association (RNSA) by the end of the day on which the loan is either...

Jun 29, 2023 | lexology.com | W. Hardy Callcott |Andrew Blake |James Brigagliano |Kevin J. Campion |Stephen Cohen |David Katz | +2 more

On June 13, 2023, the U.S. Office of Information and Regulatory Affairs released the Securities and Exchange Commission (SEC or Commission) spring 2023 regulatory agenda (Agenda).