How to File Form 8-Ks for Code of Ethics Amendments or Waivers

Most companies have codes of ethics that apply to a wide variety of items. If you change your code – or waive a provision, implicitly or expressly – you’ll need to file a Form 8-K within 4 business days with the SEC. This Vid-Guide covers:

• What to disclose
• The trigger events
• Exhibits
• Trigger dates
• Option of company webpage disclosure

For many more Vid-Guides dealing with corporate & securities law, corporate governance, E&S issues and more – particularly if you want to review any Vid-Guides referred to during this Vid-Guide – see the list of Vid-Guides spread throughout these categories:

• Corporate Governance
• Proxy Season
• Executive Pay
• ’34 Act/Other
• ’33 Act/Deals
• Sustainability/E&S
• Career Advice
• Fun Party

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