COUNTDOWN TO CONFERENCE WEEK

Upcoming Webcasts: "Alan Dye on the Latest Section 16 Developments" (1/25/2023)

Webcast Archive: "Alan Dye on the Latest Section 16 Developments" (1/26/2022)

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Key Compliance Tools:

Romeo and Dye's Section 16 Compliance Chart
Sample Compliance Forms and Materials
Sample Summary Sheet - An Excel spreadsheet to help keep a running tally of an insider's holdings
Sample Equity Tracking Worksheet - A PowerPoint chart to help track an insider's equity holdings
Studies: Section 16 Reports as Market Indicators

Section 16(b) Litigation Corner:

Recent Discussions in the Section 16 Q&A Forum:

Forms

Romeo & Dye's Section 16 Forms & Filings Handbook
Access and word-search all the model forms in Peter Romeo's and Alan Dye's Section 16 Forms and Filings Handbook . New model forms are added on an ongoing basis. Also use the search feature to access answers to practical, day-to-day questions.
Downloadable Forms 3, 4 and 5 & Form 144
Fill in and print Forms 3, 4 and 5 and Form 144. Each form is accompanied by the SEC's instructions for completing the form.
Downloadable Practice Forms
Access sample "practice" forms and documents, such as model board resolutions, memos to insiders, compliance procedures and more.
Sample Item 405 Disclosures - Delinquent Section 16 Filings

Electronic Filing

Section 16 Filer
Download the latest version, read FAQs, get help and support.
Section 16 Q&A Forum
A forum for discussing electronic filing issues and experiences.
Section 16 Disclosure on Corporate Websites

Section 16 Updates

Section 16 Cases & Enforcement Actions
Explore in detail cases and materials mentioned in each issue of Section 16 Updates.
Back Issues of Section 16 Updates
Access the back issues of Peter Romeo and Alan Dye's Section 16 Updates, in word-searchable format, from the inaugural issue in 1991 through last year.
Alerts
Latest developments affecting compliance community (but blog above has much more)

Comprehensive Treatise

Section 16 Treatise & Reporting Guide
Thousands of comprehensive pages, everything you need to know about Section 16.

SEC Rules & Guidance

The Essential Resources