This quick reference guide provides a overview of Section 16 of the US Securities Exchange Act of 1934 (Exchange Act).
Topics covered include:
- Who qualifies as an “insider" subject to Section 16?
- What types of reports need to be filed with the SEC and what triggers these filings?
- What is the filing deadline for Section 16 reports?
- What happens if a Section 16 report is filed late?
- What are the short-swing rules under Section 16(b)?
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The information in any resource collected in this virtual library should not be construed as legal advice or legal opinion on specific facts and should not be considered representative of the views of its authors, its sponsors, and/or ACC. These resources are not intended as a definitive statement on the subject addressed. Rather, they are intended to serve as a tool providing practical advice and references for the busy in-house practitioner and other readers.
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