Last year, the SEC introduced updated filing requirements for numerous form types filed on EDGAR, mandating in many rules that compliance documents be filed in a structured data format. For those looking to refresh their memories, you can read our blog from October 2022 titled, “What is Form 144?” Since this posting, there have been significant updates. Most notedly is the April 13 implementation date, which means that all “affiliates” impacted by Form 144 filing rules must begin preparing now.

In his new Law360 article, Craig Clay, President of Global Capital Markets at DFIN shares details about the Financial Data Transparency Act (FDTA), how it will help transform financial data regulatory reporting and compliance and support the growing adoption of key RegTech solutions, including artificial intelligence and machine learning.

When OpenAI launched ChatGPT, the AI-powered chatbot quickly gained attention from broad corners of the Internet. Everyone is wondering about the potential upsides or downsides of leveraging the tool in their industry.

Much of the buzz about ChatGPT is speculation because the technology is still new. However, it's not too early to consider the potential use cases and downsides of using ChatGPT for financial services.

The Securities and Exchange Commission’s (SEC) new Pay Versus Performance rule is broad and deep, including a highly technical regulation that demands close attention. Shortcuts are not an option.

Fortunately, the SEC has issued a helpful FAQ that answers a lot of the questions companies might have.

Donnelley Financial Solutions’ 4Q22 and FY22 earnings, released today, showcase our progress in becoming a software-centric company. We are on track to meet our goal of deriving 55% to 60% of total sales from software by 2026.

SEC rule changes are being introduced at a fast and furious pace. Consider this—the SEC has 59 proposed rules slated for 2023, with 29 of them due in the first half of the year. At this volume, processing the minutia of each rule and taking appropriate action will be a significant challenge for many companies.

But DFIN is here to help, starting with Rule 16b-3. Announced last month, this rule calls for the accelerated reporting of gifts of securities, either through a sale or other disposition.

"The Insider by DFIN" is a series of video interviews featuring the latest trends, topics and key perspectives on the global capital markets.

Join Ron Schneider, DFIN's Director of Corporate Governance Services, along with Jean Luther, Director of Compliance at Mediant Communications, for a special SEC Insider by DFIN.

Publicly traded companies are required by law to file certain forms with the Securities and Exchange Commission (SEC) as required by the Securities Act of 1933. Among them is Form S-8. Under Rule 701, private companies are exempt from filing Form S-8.

Form 144 is a special form that must be filed with the Securities and Exchange Commission (SEC) when an individual who owns unregistered shares or restricted and controlled securities plans to sell these shares. This is tied to Rule 144 for safe harbor transactions. The form must be filed by the time the individual places a sell order for those shares. What's more, the SEC made recent changes that impact Form 144.