Close

Are you in compliance?

Don't miss out! Sign up today for our weekly newsletters and stay abreast of important GRC-related information and news.

Get updates on Compliance Week offerings, including new features, databases, research, and other resources, along with announcements of upcoming Webcasts, conferences, seminars, CPE/CLE opportunities and more.

Published every Thursday, Compliance Week Europe offers a condensed summary of risk, audit, and compliance news either originating in Europe, or of special interest to European compliance professionals. This newsletter will follow developments by the European Commission, as well as those of national governments across the region, or any U.S.-based news that might have consequence across the Atlantic. Frequency: weekly; Thursday a.m.

A fresh edition of Compliance Week delivered via e-mail and online every Tuesday morning, relentlessly focused on the disclosure, reporting and compliance requirements of our 25,000+ paying subscribers.

Published every Friday, Compliance Weekend was launched at the behest of subscribers, and offers a quick Plain English review of the week's key developments. We hope you enjoy this supplement to Compliance Week's Tuesday edition.

New SEC Compliance & Disclosure Interpretations Posted

Melissa Klein Aguilar | September 15, 2009

The staff of the Division of Corporation Finance has published a flurry of new and revised Compliance and Disclosure Interpretations updating its interpretations relating to the Securities Act rules, Regulation S-K, Exchange Act Form 8-K, Regulation S-T, Regulations 13D and 13G, and Schedules and interactive data.

The C&DIs, posted on Sept. 14, include new questions 101.04, 101.05, 146.13 , and 130.09, which deal with issues related to the filing of interactive data submissions.

The staff has also published dozens of interpretations of Exchange Act Sections 13(d) and 13(g), Regulation 13D-G beneficial ownership reporting, and related Schedules 13D and 13G, which replace the interpretations in the July 1997 Manual of Publicly Available Telephone Interpretations.

In addition, a revised question 257.08 under the Securities Act Rules, clarifies that a Rule 506 offering won't lose "covered security" status under Section 18 of the Securities Act if an issuer fails to file a notice of the offering with the SEC.