Resources

SEC Proposes Changes to Section 13 and Short Sale Requirements

Dave Polonsky gives a run through of the new, proposed changes to beneficial ownership and short-selling reporting by the SEC.

by Liam Driscoll Mar 3, 2022 Read More

SEC Proposes Amendments to 13G and 13D Beneficial Ownership Reporting

An overview of the proposed changes to Section 13G and Section 13D by the SEC, the first of their kind in more than 40 years.

by Andrew Kim Feb 15, 2022 Read More

SPACs and what you need to disclose under Section 13 of the SEA

Special Purpose Acquisition Companies (SPACs) are on the rise, but SPAC data providers are not about to provide necessary SPAC reporting under Section 13 of the Securities and Exchange Act of 1934 (SEA).

by Kevinraj Bhatia Mar 9, 2021 Read More

Threshold change proposal for US 13F - The death knell of transparency?

The SEC has proposed to raise the disclosure threshold for 13F filings from $100m to $3.5bn. Is this the death knell of transparency into investment behaviour?

by Ron Burns Jul 24, 2020 Read More