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Compensation, Governance & ERISA, Columns

Jun 18, 2018

Considerations of Rule 701 on Private Companies

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Many private companies rely on Rule 701 to efficiently issue stock and options to recruit and retain talent.  However, the SEC’s demonstrated interest in pursuing enforcement actions relating to Rule 701 compliance emphasizes the need for private companies to carefully track the aggregate amount of their compensatory equity awards, and to be mindful of the limits and conditions required for the Rule 701 exemption to apply.

Authors and Contributors

Doreen E. Lilienfeld

Partner

Compensation, Governance & ERISA

+1 212 848 7171

+1 212 848 7171

New York

Gillian Emmett Moldowan

Partner

Compensation, Governance & ERISA

+1 212 848 5356

+1 212 848 5356

New York