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Posts By: Reid Godbolt

SEC Adopts Restrictive Amendments to Rule 10b5-1

January 25, 2023 | Articles

The SEC adopted final rules imposing new conditions and disclosure requirements on Rule 10b5-1 trading plans, increasing transparency into inside trading plans and related disclosures by SEC registrants. ‒ By Reid A. Godbolt, Esq. The Securities and Exchange Commission (SEC) adopted Final Rules imposing new conditions and disclosure requirements on Rule 10b5-1 trading plans. According… Read more »

SEC Proposes Order to Allow “Finders” in Private Offerings

October 15, 2020 | Articles

By Reid Godbolt. On October 7, 2020, the Securities and Exchange Commission voted to propose a new limited, conditional exemption from broker registration requirements for “finders” who assist small business issuers in private offerings to “accredited investors.” In seeking to ensure that the “finder” concept will be within the small capital raising context, the proposed… Read more »

New SEC Rules Modify and Simplify Regulation S-K

May 06, 2019 | Articles

By Reid A. Godbolt The Securities and Exchange Commission (“SEC”) recently adopted amendments (available at https://www.sec.gov/rules/proposed/2017/33-10425.pdf) to its Regulation S-K and related rules and forms in seeking to modernize and simplify disclosure requirements for public companies, investment advisers and investment companies. The amendments are intended to improve the readability and navigability of disclosure documents and… Read more »