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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.