Shearman & Sterling LLP multinational law firm headquartered in New York City, United States.

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.

著者等

Doreen E. Lilienfeld

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Gillian Emmett Moldowan

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