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Latest Developments

Impact of the DOMA Ruling on Public Companies
Jul 01,2013

In June 2013, the U.S. Supreme Court struck down Section 3 of the federal Defense of Marriage Act and thus required federal recognition of same-sex marriage recognized under state law. This article considers the impact of this decision on SEC regulations affecting public companies and other fundamental SEC rules that will be affected by the immediate change. The article also examines the impact to definitions and concepts important in the administration of most stock incentives, human resources and employee benefits.

Staff Reverses Itself and Allows Aggregate Reporting
Jun 26,2008

On July 2, 2008, the SEC staff issued a no-action letter to the Society of Corporate Secretaries and Governance Professionals permiting insiders to report same-day, same-way purchases and sales on an aggregate basis, i.e., on single line of Form 4 (or a late Form 5), even though the transactions occur at different prices.


Section 16 Outline
Sep 28,2018

An outline of considerations under Section 16.

SEC Plans Changes for Forms 4, 5, and 144
Jan 20,2021
Barbara Baksa

The SEC is planning to require electronic filing for Form 144, to give affiliates extra days to file it, and to add Rule 10b5-1 plan info to Forms 4 and 5.

SEC Allows Electronic Signatures for Forms 3, 4, and 5
Jan 05,2021
Barbara Baksa

The SEC has updated the signature requirements for Forms 3, 4, and 5 to allow electronic signatures and to allow electronic copies of the forms to be retained.

EDGAR Down Just When You Need It? Request a Filing Date Adjustment
Aug 11,2020
Barbara Baksa

What can you do when you are up against a Form 4 filing deadline and your power goes out or EDGAR is down? Filing date adjustments to the rescue--learn all about them in today's blog entry.

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Sample Documents


2021 Section 16 Developments with Alan Dye
Jan 27,2021

Q&A and Practice Tips from the authority on Section 16

2020 Section 16 Updates with Alan Dye
Jan 22,2020

The latest developments and compliance requirements for Section 16.

Alan Dye on the Latest Section 16 Developments
Jan 23,2019

Q&A and Practice Tips from the Expert


Surveys & Studies

NASPP Quick Survey: Section 16 Procedures
Jan 15,2011

This is an informal survey of NASPP members about their Section 16 procedures.

Regulations & Statutes

Form 3
Nov 30,2011

Statement of changes of beneficial ownership of securities.

Form 4
Nov 30,2011

Statement of changes of beneficial ownership of securities.

SEC Rel. No. 34-37260
Sep 11,2008

This release covers ownership reports and trading by officers, directors and principal security holders.

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The National Association of Stock Plan Professionals is the largest and oldest professional association for the stock and executive compensation community, with over two decades of leadership providing expert resources, education and other benefits for our more than 6,000 members across 32 affiliated chapters.


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