A Whirlwind Recap of the SEC’s Principal 2020 Rulemakings

A Whirlwind Recap of the SEC’s Principal 2020 Rulemakings

Given that 2020 was such a tumultuous year, even the most dedicated securities lawyer may have missed a rule change or two. The Securities and Exchange Commission (SEC) was also particularly busy. Under the leadership of SEC Chair Clayton, the SEC had one of its busiest rulemaking years in history.

During this session, we will provide a recap of the most significant rulemakings of 2020, covering the following:

  • Financial Disclosures About Guarantors and Issuers of Guaranteed Securities
  • Securities Offering Reform for BDCs and Closed-End Funds
  • Amendments to Financial Disclosures about Acquired Businesses
  • Amending the “Accredited Investor” Definition
  • Amendments to the Exempt Offering Framework
  • Modernization of Regulation S-K Items 101, 103 and 105
  • Amendments to MD&A
  • Modernization of Shareholder Proposal Rules/14a-8

After this session, attendees will:

  • Understand the amendments to rules and disclosure requirements by the U.S. SEC in 2020, utilizing this knowledge on a day-to-day basis to advise/practice
  • Understand these new amendments, especially amendments to Financial Disclosures about Acquired Businesses; the “Accredited Investor” definition; the Exempt Offering Framework; and MD&A, among others
  • Become familiar with the updates the SEC has made to Reg S-K, specifically for Items 101, 103 and 105
  • Become familiar with the updates in the SEC Shareholder Proposal Rules

*CLE is approved or in the process of approval for CLE credit. The type of credit allowed will be determined by the state governing MCLE Board. Contact cle@lexisnexis.com regarding state accreditation status. 

NOTE:  If you are licensed in New York, this content is appropriate for both newly admitted and experienced New York attorneys.  Although, this content is appropriate for all New York attorneys, newly admitted attorneys cannot earn CLE credit for the completion of the course when presented via webinar or webcast. (NY has issued a temporary ruling that newly admitted attorneys can receive Skills credit via webinar or webcast through January 31, 2021 due to COVID-19.)

Please Note: Recordings of CLE webinars do not qualify for CLE credit.  

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