Part 1: Unpacking the SEC’s New Disclosure Rules for Shareholders

 With

 

Confluence, together with aosphere, hosted a webinar providing a comprehensive overview of the latest regulatory changes in the SEC's new disclosure rules for shareholders. Join us for an informative session filled with valuable insights and expert guidance.

Topics covered include:

1. Beneficial ownership reporting: Reg 13GD-G modernization
   • Regulatory landscape
   • SEC amendments
   • Operational considerations
2. Short sale reporting: SEC Rule 13f-2
   • New disclosure requirement
   • Operational considerations
3. Large swap position reporting: SEC proposed Rule 10B-1
4. Q&A with our regulatory and product experts

Your Speakers:

Fiona O’Shea -- Senior Lawyer, aosphere
Aspasia Latsi - International Regulatory Analyst, CSS, a Confluence company
Mike Marmo -- Senior Product Manager, Confluence

Moderator:

Greg Hotaling – Regulatory Content Manager, Confluence


View on demand!

Don't miss a chance to explore these topics further on December 12 for Part 2: Operationalizing the SEC’s New Disclosure Rules for Shareholders, where we'll delve into key operational considerations and actionable steps to address compliance with these changes.