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Alan Dye's Section16.net Blog
Webcast Archive:
"Alan Dye on the Latest Section 16 Developments"
(1/25/2023)
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Key Compliance Tools:
Alan Dye's Year-End Section 16 Compliance Checklist
Alan Dye's Year-End Section 16 Actions & Tips
Archives/Transcripts of Our Webcasts
Basics of Section 16
Memos: SEC Enforcement Actions
Other Memos/Articles
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:
New York Judge Transfers Venue in Section 16(b) Action to California
Dueling Plaintiffs File Separate 16(b) Complaints
Longtime Section 16(b) Plaintiff Passes Away
Court Denies Motion to Reconsider Ruling that Warrant Amendments Resulted in New Purchase
There Are Limits on Extrinsic Documents a Court Will Consider in Ruling on Motion to Dismiss
Insider May Not Conduct Discovery Into Plaintiff's Attorney's "Business Model" to Establish that Plaintiff Had "Unclean Hands"
All Litigation Summaries
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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
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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.
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CompensationStandards.com
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Section 16 Annual Service
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