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Fair Disclosure, Regulation FD
On August 15, 2000, the SEC adopted Regulation FD to address the selective disclosure of information by publicly traded companies and other issuers. Regulation FD provides that when an issuer discloses material nonpublic information to certain individuals or entities—generally, securities market professionals, such as stock analysts, or holders of the issuer's securities who may well trade on the basis of the information—the issuer must make public disclosure of that information. In this way, the new rule aims to promote the full and fair disclosure.
SEC Statement 08/30/2004
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[286]
SEC Updates Regulation FD Compliance and Disclosure Intepretations
On June 4, 2010, the SEC issued several new and updated Compliance and Disclosure Intepretations, included new Compliance and Disclosure Intepretation 101.11 which privides guidance for private meetings between corporate officials and shareholders.
The new interpretation is as follows:
Question 101.11
Question: Does Regulation FD prohibit directors from speaking privately with a shareholder or groups of shareholders?
Answer: No. Regulation FD prohibits a company or a person acting on its behalf — such as directors, executive officers and investor relations personnel — from selectively disclosing material, non-public information to a shareholder under circumstances in which it is reasonably foreseeable that the shareholder will purchase or sell the...
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[214]
SEC CHARGES OFFICE DEPOT WITH IMPROPER DISCLOSURES TO ANALYSTS
U.S. SECURITIES AND EXCHANGE COMMISSION
Litigation Release No. 21703/October 21, 2010
Accounting Auditing Enforcement Release No. 3199/October 21, 2010
Securities and Exchange Commission v. Office Depot, Inc., Civ. Action No. 9:10-cv-81239 (S.D. Fla. Oct. 21, 2010)
SEC CHARGES OFFICE DEPOT WITH IMPROPER DISCLOSURES TO ANALYSTS
The Securities and Exchange Commission today announced an enforcement action against Office Depot, Inc. for violating fair disclosure regulations when selectively conveying to analysts and institutional investors that the company would not meet analysts' earnings estimates. The SEC also charged Office Depot with unrelated accounting violations.
Regulation FD requires that when issuers disclose material nonpublic...
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Welcome to RegulationFD.Info
Welcome to RegulationFD.Info - the new "Web 2.0" website providing a legal and business resource for SEC Regulation FD "Fair disclosure" via the Digital Dominion Network's Law and Business Network. This website is primarily focused upon serving legal, securities, and business professionals with an interest in SEC Regulation FD. The Digital Dominion Law and Business Network provides primarily user generated content contributed by readers or reprinted from public domain sources. Each website of the Digital Dominion Law and Business Network is a "Web 2.0" website which provide multiple opportunities for user contribution, discussion, and sharing on featured topics. Watch this site and other websites of the Digital Dominion Network as we roll out new features. Register as a user and take...
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