United States:
Considerations Of Rule 701 On Private Companies (Video)
25 June 2018
Shearman & Sterling LLP
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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.
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
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