Whistleblower law firm complains to SEC *

USA - May 17 2013
Two partners from a self-described law firm that specializes in the representation of whistleblowers have sent a letter to the SEC Commissioners…

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8-K’s announcing Reg FD social media channels begin; NYSE weighs in *

USA - April 18 2013
The SEC opened the barn doors on use of social media, or merely reaffirmed existing guidance, depending on your point of view, in a recent Section…

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Court dismisses another say-on-pay disclosure case *

USA - April 8 2013
The District Court for the Northeastern District of Illinois recently granted a Rule 12(b)(6) motion to dismiss an action styled Noble v. AAR Corp…

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Accredited crowdfunding, internet advertising and general solicitation *

USA - April 4 2013
The SEC recently granted two accredited crowdfunding sites exemptions from the broker-dealer rules because the type of carried interest (or close…

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Hedge funds and private equity groups on SEC examination priority list *

USA - March 23 2013
The Office of Compliance Inspections and Examinations, or OCIE, administers the SEC's nationwide examination and inspection program. The National…

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