Providing practical guidance
for over 20 years.
Search
Membership Center
Renewals
Our Products
Contact Us
Q&As
Treatise
Handbook
Tools
Section 16 Basics
Statutes & Rules
Compliance Charts
& Checklists
Section 16 Updates
Back Issues
Section 16 Cases &
Enforcement Actions
SEC Releases
SEC Staff Guidance
Memos
Forms
Forms & Filings Handbook
Blank Forms
Compliance Forms
Webcasts
Blog
Bootcamp
Check Out the Latest News!
Alan Dye's Section16.net Blog
Upcoming Webcast:
"Alan Dye on the Latest Section 16 Developments"
(1/29/2025)
Webcast Archive:
"Alan Dye on the Latest Section 16 Developments"
(1/24)
Members log in here:
User Id:
*
Password:
*
Remember me
Don't know your password?
Key Compliance Tools:
Alan Dye's Year-End Section 16 Compliance Checklist
Alan Dye's Year-End Section 16 Actions & Tips
Archives/Transcripts of Our Webcasts
Basics of Section 16
Memos: SEC Enforcement Actions
Other Memos/Articles
Romeo and Dye's Section 16 Compliance Chart
Sample Compliance Forms and Materials
Sample Summary Sheet
- An Excel spreadsheet to help keep a running tally of an insider's holdings
Sample Equity Tracking Worksheet
- A PowerPoint chart to help track an insider's equity holdings
Studies: Section 16 Reports as Market Indicators
Section 16(b) Litigation Corner:
District Judge Says In-Kind Annuity Payment From GRAT May Be a "Purchase"
Court Holds Spouse Jointly Liable for Insider's Underpayment of Taxes Based on Erroneous Interpretation of Section 16(b)
Rule 16b-3 Doesn't Require that Board Know that Counterparty is a "Director by Deputization"
Judge Upholds Jury Verdict Attributing Adult Daughter's Purchase to Insider
Court Gives Insider a Chance to Establish "Debt Previously Contracted" Defense
Judge Reaffirms that Issuer Repurchases are not Attributable to Insider
All Litigation Summaries
Recent Discussions in the
Section 16 Q&A Forum
:
Forms
Romeo & Dye's Section 16 Forms & Filings Handbook
Access and word-search all the model forms in Peter Romeo's and Alan Dye's
Section 16 Forms and Filings Handbook
. New model forms are added on an ongoing basis. Also use the search feature to access answers to practical, day-to-day questions.
Downloadable Forms 3, 4 and 5 & Form 144
Fill in and print Forms 3, 4 and 5 and Form 144. Each form is accompanied by the SEC's instructions for completing the form.
Downloadable Practice Forms
Access sample "practice" forms and documents, such as model board resolutions, memos to insiders, compliance procedures and more.
Sample Item 405 Disclosures - Delinquent Section 16 Filings
Electronic Filing
Section 16 Filer
Download the latest version, read FAQs, get help and support.
Section 16 Q&A Forum
A forum for discussing electronic filing issues and experiences.
Section 16 Disclosure on Corporate Websites
Section 16 Updates
Section 16 Cases & Enforcement Actions
Explore in detail cases and materials mentioned in each issue of Section 16 Updates.
Back Issues of Section 16 Updates
Access the back issues of Peter Romeo and Alan Dye's Section 16 Updates, in word-searchable format, from the inaugural issue in 1991 through last year.
Alerts
Latest developments affecting compliance community (but blog above has much more)
Comprehensive Treatise
Section 16 Treatise & Reporting Guide
Thousands of comprehensive pages, everything you need to know about Section 16.
SEC Rules & Guidance
Statutes & Rules
Staff Section 16 Compliance & Disclosure Interpretations
Staff FAQs: Section 16 Electronic Filing
Staff Section 16 No-Action Letters
The Essential Resources
CompensationStandards.com
DealLawyers.com
PracticalESG.com
NASPP
TheCorporateCounsel.net
The Corporate Counsel
The Corporate Executive
Section 16 Annual Service
Romeo & Dye's Section 16 Filer
Deal Lawyers
print newsletter
Romeo & Dye's "Section 16 Treatise"
Section 16 Bootcamp & Tales
Deal U. Workshop