1934 Act Filings Archives - Page 5 of 5

Locke Lord QuickStudy: Conflict Minerals Rule is Still in Effect – For Now

Apr 6, 2017 | 1934 Act Filings, Conflict Minerals, Quick Study

On April 3, 2017, the D.C. District Court entered its final judgment in National Association of Manufacturers v. SEC holding that Section 1502 of Dodd-Frank and the SEC’s conflict minerals rule, Rule 13p-1 and Form SD thereunder, violate the First Amendment to the extent that a covered public company is required to report to the SEC and state on its website if any of its products “have not been found to be DRC conflict free”.

Locke Lord QuickStudy: One-Click Fix: SEC Amends Rules to Require Hyperlinks for Exhibits

Mar 27, 2017 | 1934 Act Filings, Quick Study

On March 1, 2017, the Securities and Exchange Commission (the “SEC”) adopted rule and form amendments (the “Amendments”) requiring registrants that file certain registration statements and periodic and current reports subject to the exhibit requirements under Item 601 of Regulation S-K to (i) include a hyperlink to each exhibit listed in the exhibit index of any such filing and (ii) submit such filings on EDGAR in HTML format instead of ASCII format (because ASCII does not support hyperlinks)1.

Locke Lord QuickStudy: The Resource Extraction Disclosure Rules are Dead

Feb 15, 2017 | 1934 Act Filings, Quick Study

As noted in this Locke Lord QuickStudy, on January 31, 2017, Republican lawmakers in the House introduced a resolution (“HJ Resolution 41”), relying on the Congressional Review Act, intended to kill the SEC’s disclosure rules for payments made by resource extraction issuers (the “Resource Extraction Disclosure Rules”).

Topic: 1934 Act Filings

Locke Lord QuickStudy: Conflict Minerals Rule is Still in Effect – For Now

Locke Lord QuickStudy: One-Click Fix: SEC Amends Rules to Require Hyperlinks for Exhibits

Locke Lord QuickStudy: The Resource Extraction Disclosure Rules are Dead

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