Last edited by Saktilar
Monday, May 4, 2020 | History

1 edition of SEC Section 16 rules found in the catalog.

SEC Section 16 rules

SEC Section 16 rules

an update

  • 338 Want to read
  • 40 Currently reading

Published by Practising Law Institute in New York (810 7th Ave., New York 10019) .
Written in

    Places:
  • United States.
    • Subjects:
    • Stock ownership -- Law and legislation -- United States.,
    • Disclosure of information -- Law and legislation -- United States.,
    • Securities -- United States.

    • Edition Notes

      Statementco-chairs, Richard R. Howe, Gloria W. Nusbacher.
      SeriesCorporate law and practice course handbook series ;, no. 758
      ContributionsHowe, Richard R., Nusbacher, Gloria W., Practising Law Institute.
      Classifications
      LC ClassificationsKF1449.Z9 S433 1991
      The Physical Object
      Pagination424 p. ;
      Number of Pages424
      ID Numbers
      Open LibraryOL1286786M
      LC Control Number92145878

      (a) Every investment adviser registered or required to be registered under section of the Act (15 U.S.C. 80b-3) shall make and keep true, accurate and current the following books and records relating to its investment advisory business; (1) A journal or journals, including cash receipts and disbursements, records, and any other records of original entry forming the basis of entries in any. The Public Company Handbook: A Corporate Governance Guide for Directors and Executives. We have designed this practical and easy to digest guide for directors and executives of public companies. Directors and officers can face a bewildering task in understanding the myriad SEC, NYSE, Nasdaq and state law issues that apply to their orga-nizations.

      Rule 16a-4 - Derivative securities. Rule 16a-5 - Odd-lot dealers. Rule 16a-6 - Small acquisitions. Rule 16a-7 - Transactions effected in connection with a distribution. Rule 16a - 8 - Trusts. Rule 16a–9 Stock splits, stock dividends, and pro rata rights. 16a - Exemptions under section 16(a). Rule 16a–11 Dividend or interest reinvestment.   SEC rules under Section 16(b) exempt from this general requirement transactions that satisfy specified requirements. Rule 16b Transactions Between a Company and Its Officers or Directors. Rule 16b-3 has long exempted many employee benefit plan transactions from Section 16(b) short-swing profit recovery.

      revisions to the Practice Book that are contained herein. These revisions become effective on January 1, , except that the amendments to Rule of the Rules of Professional Conduct become effective today, J , upon promulgation, by being published in this Connecticut Law Journal; the amendments to SectionFile Size: KB.   Most in-house counsel of public companies are very familiar with the reporting obligations required by the trifecta – Form 8-Ks, Form Qs and Form Ks – but they oftentimes rely on outside counsel to help determine whether any filings are required to be made under Section 16 .


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SEC Section 16 rules Download PDF EPUB FB2

Rule 16a-9(a) exempts from Section 16 "the increase or decrease in the number of securities held as a result of a stock split or stock dividend applying equally to all securities of a class, including a stock dividend in which equity securities of a different issuer are distributed." This rule is available to exempt payment of a "pay-in-kind" dividend where there is no choice to receive the.

COVID Resources. Reliable information about the coronavirus (COVID) is available from the World Health Organization (current situation, international travel).Numerous and frequently-updated resource results are available from this ’s WebJunction has pulled together information and resources to assist library staff as they consider how to handle coronavirus.

OCLC Number: Notes: "Prepared for distribution at the SEC Section 16 rules: an update program, November 6, "--Page 5. Pages blank. - Staff Section 16 No-Action Letters - Section 16 Basics - Sect Securities Exchange Act ofand related SEC rules - Index of Sect Securities Exchange Act ofand related SEC rules - Sections 17(a) and (b), Public Utility Holding Company Act ofand related SEC rule - Section 30(h), Investment Company Act of The edition of SEC Guidelines: Rules and Regulations is a compilation of Forms, Regulations, and Interpretative Guidance, and reflects the latest requirements for preparing financial statements and related disclosure documents to be filed with the SEC.

This useful desk reference includes the reference materials most frequently used by accountants and legal professionals whose clients must. SEC Proposes Amendments to Section 16 Rules The SEC has proposed amendments to Rules 16b-3 and 16b-7 (Release ), which would exempt certain transactions from a private right of action to recover short-swing profits under Section 16(b) of the Securities Exchange Act of (the “Exchange Act”).

The SEC has. 11 rows  Effective Date: July 1, except as defined in the rule File No.: S Federal. Title: Microsoft Word - MC No 16 s _Amendment to Sec 23 Rule XVI of the Omnibus Rules Implementing Book V of the Author: shiela Created DateFile Size: KB.

Forms Prescribed under the Commission's Rules of Practice Part Form and Content of and Requirements for Financial Statements, Securities Act ofSecurities Exchange Act ofPublic Utility Holding Company Act ofInvestment Company Act ofInvestment Advisers Act ofand Energy Policy and Conservation Act of The Commission is authorized to solicit the information required by this Form pursuant to Sections 16(a) and 23(a) of the Securities Exchange Act ofSections 17(a) and 20(a) of the Public Utility Holding Company Act ofand Sections 30(h) and 38 of the Investment Company Act ofand the rules and regulations thereunder.

Section 16 Cases & Enforcement Actions Explore in detail cases and materials mentioned in each issue of Section 16 Updates. Back Issues of Section 16 Updates Access the back issues of Peter Romeo and Alan Dye's Section 16 Updates, in word-searchable format.

• Section 16 of the Securities Exchange Act of (the “Exchange Act”) governs the regulatory filing responsibilities that must be met by directors, officers, and principal stockholders. • Section 16(a) specifically applies to: – Public companies only – Applies to. Securities Lawyer Blog.

Section 16(a) of the Exchange Act of (the “Exchange Act”) requires the reporting of beneficial ownership by the officers, directors and stockholders who hold stock directly or indirectly, beneficially owning more than 10% of the company’s common stock or other class of equity securities registered under Section 12(b) or 12(g) of the Exchange Act.

• The SEC has the authority to fine directors and executive officers for violations of their Section 16 reporting obligations, up to US$, for individuals and US$, for entities. Our Section 16 Handbooks provide detailed discussions on the understanding and application of the rules.

Our Section 16 Handbooks provide detailed discussions on the understanding and application of the rules. Form 4 and Form 5 Model Form Purchases, Sales, and Conversions of Convertible Securities. ILLUSTRATIVE FACTS: On (a) (i) Persons reporting pursuant to Section 16(a) of the Exchange Act shall include information as to transactions and holdings required to be reported in any class of equity securities of the issuer and the beneficial ownership at the end of the year of that class of equity securities, even though one or more of such classes may not be registeredFile Size: 80KB.

In their treatise on securities regulation, Professors Jennings and Marsh concluded: “Judging solely from the facts stated in the opinions in the decided cases, the function of Section 16(b) would appear to be to impose unjust liability upon entirely innocent persons.”.

§ b-7 Mergers, reclassifications, and consolidations. (a) The following transactions shall be exempt from the provisions of section 16(b) of the Act: (1) The acquisition of a security of a company, pursuant to a merger, reclassification or consolidation, in exchange for a security of a company that before the merger, reclassification or.

Terms defined in this rule shall apply solely to section 16 of the Act and the rules thereunder. These terms shall not be limited to section 16(a) of the Act but also shall apply to all other subsections under section 16 of the Act.

(a) The term beneficial owner shall have the following applications: (1) Solely for purposes of determining whether a person is a beneficial owner of more than ten. The SEC Is Serious About Section 16 Filings Section 16(a) of the Exchange Act and the rules promulgated thereunder apply to every person who is the beneficial owner of more than 10% of any class of any equity security of a public company, and any officer or director of a public company.

Pursuant to Section 16(a), Insiders must file with the Securities and Exchange Commission (the "SEC") a Form 3 upon becoming an Insider, a Form 4 for any transaction that represents a change in their beneficial ownership, and a Form 5 to report certain exempt or unreported transactions.Rule 16a-1 - Definition of terms.

Terms defined in this rule shall apply solely to section 16 of the Act and the rules thereunder. These terms shall not be limited to Section 16(a) of the Act but also shall apply to all other subsections under section 16 of the Act.

(a) The .Final Section 16 Reporting and Short Swing Profit Rules: Final Section 16 Rules Are User Friendly. Find out more about this topic, read articles and blogs or research legal issues, cases, and codes on