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SEC staff updates C&DIs related to filing of Schedules 13D and 13G

  • SEC (US Securities and Exchange Commission) Image

Jul 15, 2016

The staff in the SEC’s Division of Corporation Finance has updated its compliance and disclosure interpretations (C&DIs) related to filing Schedules 13D and 13G (Rule 13d-1).

The updated guid­ance ad­dresses whether a shareholder is exempt from filing on Schedule 13G on the basis of the provisions in the Hart-Scott-Rodino Act. For more in­for­ma­tion, see Ques­tion 103.11 of the C&DIs on the SEC’s Web site.

Correction list for hyphenation

These words serve as exceptions. Once entered, they are only hyphenated at the specified hyphenation points. Each word should be on a separate line.