June 27, 2008

Corp Fin Issues Updated Section 16 and Form 8-K Guidance

Yesterday, Corp Fin issued:

- Updated Form 8-K Compliance & Disclosure Interpretations

- Updated Section 16 Compliance & Disclosure Interpretations

- Section 16 No-Action Letter to Society of Corporate Secretaries

Alan Dye has already blogged on these on his "Section16.net Blog," with more complete analysis coming up in "Section 16 Updates" in a week or so.

Society's Annual Conference: Twelve Videos Posted

So far, I am the only person contributing to the Society's FriendFeed room that I created - I'm not surprised given that it's an experiment - and I've posted these 12 videos (each of them is no longer than a minute):

- Carl Hagberg & His Lifetime Achievement Award
- Carolyn Coffey on Conference Pilates
- Geoff Loftus on Latest in Society's National Office
- Bob Woodward Luncheon Speech - Priceless
- Tom Kies & John Siemann: No Rap Song (Yet)
- John Truzzolino on Getting Involved in XBRL
- David Katz on Teaching the Youth
- Brian Lane on Meeting with SEC Staff
- Nicole Sanford on Technology Swat Team
- Jim Reda on Dealing with Advisors
- Welcome Reception - Society Conference
- Rapping with J&J's Doug Chia

Thanks to these brave souls for trying this out. More than one person refused to be interviewed and I can't say I blame them. But you only live once...

SEC Proposes to Amend Broker-Dealer Registration Requirements for Non-US B-Ds Working with US Investors

At Wednesday's SEC open meeting, the SEC proposed amendments to Rule 15a-6, which provides an exemption from broker/dealer registration for non-US broker/dealers that conduct business with US investors. The proposals are not overwhelming, give that they incorporate many of the liberalized positions taken in SEC Staff no-action letters. We have started posting memos on this development.

- Broc Romanek

Posted by broc at 06:34 AM
Permalink: Corp Fin Issues Updated Section 16 and Form 8-K Guidance