Rita Patel

SEC issues new and revised guidance related to Rule 701

By Era Anagnosti, Michelle Lara, Rita Patel & Keith Ranta on March 19, 2026

Posted in C&DIs, Exempt offerings, SEC guidance, Securities registration

On March 6, 2026, the United States Securities and Exchange Commission (SEC) issued several new and revised Compliance and Disclosure Interpretations (C&DIs). Most of the C&DIs provide clarification on the requirements for exemptions from registration for offers and sales of securities pursuant to certain compensatory benefit plans under Rule 701…

Executive compensation for foreign private issuers: Key reporting and tax issues to consider

By Sanjay Shirodkar, Keith Ranta, Rita Patel & Gina Lee on February 2, 2026

Posted in Executive compensation, Foreign private issuers, SEC reporting

Foreign private issuers (FPIs) have recently faced scrutiny from regulators in the United States. As discussed in a previous Market Edge blog, US Securities and Exchange Commission (SEC) Chairman Paul Atkins has questioned some of the accommodations currently provided to FPIs and whether the “FPI” definition under federal securities…

To control or not to control: SEC issues new guidance impacting Schedule 13G filers

By Era Anagnosti, Sanjay Shirodkar, Rita Patel, Keith Ranta, Michelle Lara & Jenna Fontenot on March 10, 2025

Posted in Annual meetings, Corporate governance, ESG, Proxy voting, SEC developments, Shareholder engagement

The US Securities and Exchange Commission (SEC) recently issued a new Compliance and Disclosure Interpretation, Question 103.12 (C&DI), that may significantly impact how public companies engage with their shareholders. Released on February 11, 2025, this C&DI focuses on the eligibility criteria for reporting beneficial ownership on Schedule 13G compared to Schedule…