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Articles by Nicholas Devine
SEC Adopts New Conditions and Disclosures Regarding 10b5-1 Plans | JD Supra
On Dec. 14, 2022, the Securities and Exchange Commission (SEC) adopted amendments to Rule 10b5-1, generally in the form issued for comment in January 2022 (replacing the version initially published on Dec. 15, 2021), which we discussed in a previous alert. The amendments include new conditions to the affirmative defense under Rule 10b5-1, create new disclosure requirements regarding the use of 10b5-1 Plans in periodic reports, and update Forms 4 and 5.
SEC Votes to Overhaul Mutual Fund and ETF Shareholder Reports | JD Supra
On Oct. 26, 2022, the Securities and Exchange Commission (SEC) unanimously voted to amend the annual and semi-annual shareholder report requirements for mutual funds and ETFs (Funds). The amendments, which require that Funds provide shareholders “concise and visually engaging” annual and semiannual reports, are aimed at ensuring that retail investors are better able to understand the performances, fees and other key information of their Fund investments.
SEC Proposes Oversight Requirements for Services Outsourced by Investment Advisers | JD Supra
On Oct. 26, 2022, the Securities and Exchange Commission (SEC) proposed a new rule and rule amendments that would prohibit registered investment advisers from outsourcing various services without first conducting due diligence on their service providers and would require that the advisers periodically monitor such service providers.
SEC Proposes Rules to Require New Climate-Related Disclosures | JD Supra
On March 21, 2022, the Securities and Exchange Commission (SEC) issued for comment proposed rules requiring companies to include climate-related disclosures in their registration statements and periodic reports filed under the Securities Act of 1933 and the Securities Exchange Act of 1934.
ESG Voting Policy Updates for the 2022 Proxy Season | JD Supra
This client alert provides an overview of recent key updates on environmental, social and governance (ESG) matters from the leading proxy advisory firms and major institutional investors. We also address updated guidance by the Securities and Exchange Commission (SEC) related to the shareholder proposal submission process.
SEC Proposes Changes to Share Repurchase Disclosure Rules and 10b5-1 Plans | JD Supra
The Securities and Exchange Commission (SEC) has issued for comment two separate but related proposed rule amendments regarding share repurchases and 10b5-1 Plans. The comment period will remain open for 45 days after publication of the proposed rules in the Federal Register. Issuer Share Repurchases. The SEC has proposed two amendments regarding an issuer’s share repurchase disclosures.
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