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SEC outlines position on FD disclosure using social media
- Patterson Belknap Webb & Tyler LLP
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- USA
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- April 5 2013
The Securities and Exchange Commission (SEC), on April 2, 2013, outlined a new disclosure position that clarifies that public companies can use
A modicum of clarity: DOJ and SEC shed some light on the foreign corrupt practices act
- Patterson Belknap Webb & Tyler LLP
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- USA
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- November 16 2012
On November 14, 2012, the Department of Justice and the Securities and Exchange Commission issued A Resource Guide to the U.S. Foreign Corrupt Practices Act
Checklist for retirement plan sponsors in reviewing fee disclosures from service providers
- Patterson Belknap Webb & Tyler LLP
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- USA
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- September 19 2012
As we have previously alerted you in our June 2012 Alert, the U.S. Department of Labor’s (“DOL’s”) so-called “Service Provider Fee Disclosure Regulations” took effect on July 1, 2012, and requires certain service providers (e.g., investment advisors, recordkeepers and others) to retirement plans that are covered by the Employee Retirement Income Security Act (“ERISA”) to disclose compensation and fee information to fiduciaries of such plans in writing
SEC adopts rule for disclosing use of conflict minerals
- Patterson Belknap Webb & Tyler LLP
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- Africa, USA
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- September 13 2012
The Securities and Exchange Commission (SEC) recently adopted a rule pursuant to Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) requiring certain issuers to publicly disclose their use of “conflict minerals” that originate in the Democratic Republic of the Congo (DRC) or an adjoining country
SEC adopts rules requiring payment disclosures by resource extraction issuers
- Patterson Belknap Webb & Tyler LLP
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- USA
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- September 6 2012
The Securities and Exchange Commission (SEC) recently adopted rules mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) requiring resource extraction issuers to disclose certain payments made to the U.S
Upcoming obligations on retirement plan sponsors and administrators regarding fee disclosure
- Patterson Belknap Webb & Tyler LLP
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- USA
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- June 28 2012
In continuing our series of Client Alerts pertaining to new requirements from the U.S. Department of Labor (“DOL”) regarding retirement plan fee disclosures, we now remind you of obligations on most retirement plan sponsors and plan administrators that will become effective as early as July 1, 2012
New U.S. tax basis reporting rules imposed on certain securities issuers
- Patterson Belknap Webb & Tyler LLP
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- USA
- -
- February 21 2012
U.S. and non-U.S. issuers of specified securities are subject to new U.S. tax basis reporting obligations under Section 6045B of the U.S. Internal Revenue Code of 1986, as amended, which was enacted as part of the Energy Improvement and Extension Act of 2008
SEC staff limits non-public submission policy
- Patterson Belknap Webb & Tyler LLP
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- USA
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- January 27 2012
In connection with its ongoing efforts to promote transparency and investor protection, the Staff of the U.S. Securities and Exchange Commission recently issued a statement revising its policy regarding the non-public submission of registration statements pursuant to the Securities Act of 1933 and the Securities Exchange Act of 1934
The uninvited guest: Dodd-Frank and the family office
- Patterson Belknap Webb & Tyler LLP
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- USA
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- January 24 2012
The Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank") significantly changed the law regarding required registration as an investment adviser pursuant to the provisions of the Investment Advisers Act of 1940 (the "Act"
District court ruling could significantly limit Madoff trustee's claims against Mets' owners
- Patterson Belknap Webb & Tyler LLP
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- USA
- -
- October 3 2011
On September 27, 2011, U.S. District Judge Jed S. Rakoff issued an important ruling in the action commenced by Irving Picard ("Trustee"), trustee for Bernard L. Madoff Securities LLC ("Madoff"), against a group of individuals and investment entities affiliated with the New York Mets (collectively, "Defendants"
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