SEC Selective Disclosure Rules
D. Michael Jones and Jane Whitt Sellers of McGuireWoods LLP
This article reviews the SEC adopted Regulation FD that will require public companies to look at the way they deal with analysts and intuitional investors. In this article, the authors have summarized the scope of Regulation FD, provides a list of frequency asked questions and recommendation to develop corporate policy dealing with the disclosure materials.
The Disclosure Dichotomy: Competing Models of IR
Boris Feldman and Ignacio E. Salceda of Wilson Sonsini Goodrich & Rosati
This article discusses competing models of investor relations (IR) regarding what companies should communicate and how they should do it.
New SEC Regulation Targets Selective Disclosure by Public Companies
Saul Ewing LLP
On August 10, 2000, the Securities and Exchange Commission (the "SEC") adopted Regulation FD (Fair Disclosure) esta.
Insider Trading: Information on Bounties
U.S. Securities and Exchange Commission
Pamphlet from the Securities and Exchange Commission designed to provide interested persons with information on insider trader bounties under Section 21A(e) of the Securities Exchange Act of 1934.
Proactive Planning Key to Effective Disclosure Controls and Procedures
Norman B. Antin and Jeffrey D. Haas of Patton Boggs
Over the past year, clients have repeatedly posed questions about the disclosure controls and procedures they are now required to maintain as mandated by Sarbanes-Oxley. Based on the number and types of questions posed, an overview of disclosure controls and procedures is among the most useful tools an attorney can provide a client in that regard.
Fair Disclosure--"Leveling The Playing Field"
Robert J. Jones of Saul Ewing LLP
City X is working on an advance refunding of its outstanding Series 1995 Bonds, but the plan is not known outside t.
Practical Guidance for Compliance with New-SEC Regulation FD
Pepper Hamilton LLP
This paper reviews the guidelines for complying with the new SEC Regulation FD.
Some Rules of the Road for Taking it to The Street: The Impact of Item 12 of Form 8-K and Regulation FD on Quarterly Earnings Announcements and Related Disclosure
Robert P. Whalen and Eric J. Graham of Goodwin Procter LLP
The Securities and Exchange Commission published new rules effective March 28, 2003 that require most public companies to furnish to the SEC on Form 8-K all press releases and other public announcements that contain material nonpublic information concerning results of operations or financial condition for completed quarterly or annual periods.
New Regulation FD Prohibits Selective Disclosure--Winter 2000
Faegre & Benson LLP
This article summarizes the new Regulation FD which prohibits public companies from selectively disclosing material information to analysts and institutional investors before making the same disclosures to individual investors and the general public.
Client Alert: SEC Approves New Regulation FD
J. David Washburn of Arter & Hadden LLP
This alert provides a list of frequently asked questions concerning the New Regulation FD which become law on October 14, 2000.
SEC Charges Siebel Systems, Inc. with Second Violation of Regulation FD and Brings First Case Charging a Violation of Rule Requiring Issuers to Maintain Adequate Disclosure Controls and Procedures
Morrison & Foerster LLP
On June 29, 2004, the Securities and Exchange Commission filed a civil action in Federal District Court against Siebel Systems, Inc., charging that Siebel violated Regulation FD and a prior SEC cease-and-desist order. Regulation FD prohibits issuers from selectively disclosing material nonpublic information to certain persons - including securities analysts, broker-dealers, investment advisers and institutional investors - before disclosing the same information to the public.