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  1. News
  2. SEC rule amendments to require electronic submission of Form 144 filings and “glossy” annual reports

SEC rule amendments to require electronic submission of Form 144 filings and “glossy” annual reports

SEC Update
24 June 2022
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The SEC recently adopted rule amendments that will require registrants and other persons to file or otherwise submit electronically via EDGAR a variety of documents that previously could be submitted in either electronic or paper format. The amendments will have their most significant impact on the filing of Form 144 notices of sales of securities of reporting companies and the submission of “glossy” annual reports to security holders, most of which are currently filed or submitted in paper format. Many filers already submit electronically the other documents for which the option to submit in paper format will no longer be available.

Many of the documents covered by the amendments – including the glossy annual report – will not be subject to mandatory electronic submission until six months after the effectiveness of the amendments. Form 144 notices will become subject to mandatory electronic filing after a longer transition period that will extend well into 2023.

The amendments also will require, after a three-year transition period, the use of the Inline XBRL structured data language for annual financial statements and other financial information contained in annual reports of employee benefit plans filed on Form 11-K under the Exchange Act.

The amendments will be effective on July 11, 2022. The SEC’s adopting release (No. 33-11070) can be accessed here.

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Authored by Alan Dye (co-editor), Richard Parrino (co-editor), and Nicholas Hoover.

Contacts
Alan Dye
Partner
Washington, D.C.
Richard Parrino
Partner
Washington, D.C.
Nick Hoover
Counsel
Baltimore
Steve Abrams
Partner
Philadelphia
Richard Aftanas
Partner
New York
Tifarah Allen
Partner
Washington, D.C.
Emil Arca
Partner
New York
Rene Arce Lozano
Partner
Monterrey
John Beckman
Partner
Washington, D.C.
Jessica Bisignano
Partner
Philadelphia
David Bonser
Partner
Washington, D.C.
Glenn Campbell
Partner
Baltimore
Isabel da Costa Carvalho
Partner
São Paulo
David Crandall
Partner
Denver
John Duke
Office Managing Partner
Philadelphia
Ben Garcia
Partner
New York
Kevin Greenslade
Partner
Northern Virginia
Sina Hekmat
Partner
New York
Allen Hicks
Partner
Washington, D.C.
Paul Hilton
Senior Counsel
Denver
Eve Howard
Partner
Washington, D.C.
William Intner
Partner
Baltimore
Bob Juelke
Partner
Philadelphia
Evan Koster
Partner, Global Coordinator for Derivatives and Commodities
New York
Paul Manca
Partner
Washington, D.C.
Michael McTiernan
Partner
Washington, D.C.
Stuart Morrissy
Partner
New York
Brian O'Fahey
Partner
Redwood City
Les Reese
Partner
Washington, D.C.
Robert Ripin
Partner
New York
Richard Schaberg
Partner
Washington, D.C.
Michael Silver
Partner
New York
Andrew Zahn
Partner
Washington, D.C.
Stephen Nicolai
Partner
Philadelphia
Russell Slanover
Counsel
New York
David Tyler
Counsel
São Paulo
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Keywords Hogan Lovells SEC Update, SEC, Disclosure and Ongoing Reporting Obligations, Annual Report, Exchange Act forms, Form 144, Form 11-K, Form 6-K, Regulation S-T, Rule Amendments
Languages English
Topics Corporate Governance, Securities and Public Company Advisory
Countries United States
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