Section16.net

Webcast Archive: "2020 Section 16 Changes with Alan Dye" (1/2020)

What's New:

Memos: SEC Enforcement Actions
Alan Dye's Year-End Section 16 Compliance Checklist
Test Your Skills: Pro or Troll?
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

Section 16(b) Litigation Corner:

Archive

Purchase Rescinded 604 Days Later Remains Subject to Section 16(b)
Battle Lines Forming in Plaintiffs' Attorneys' Fee Fight
District Court Says "Busted Trade" Isn't Subject to Section 16(b)
Investment Adviser's Deputization of Director Does Not Make Adviser's Clients Directors by Deputization
Second Circuit Holds that Investor's Delegation of Investment Discretion to Investment Adviser Does Not Create a 13(d) Group

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A New Section 16 Resource!

Section 16 Tales

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)

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Comprehensive Treatise

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

Webcasts, Compliance Charts & Resources

Section 16 Q&A Forum (moderated by Alan Dye)
A place for practitioners to raise questions, share practices, and stay on top of developments.
Archives/Transcripts of Our Webcasts
Alan Dye's Year-End Section 16 Actions & Tips
Romeo and Dye's Section 16 Compliance Chart
Sample Compliance Forms and Materials
Basics of Section 16
Other Memos/Articles
Studies: Section 16 Reports as Market Indicators

SEC Rules & Guidance

The Essential Resources