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SEC grants no-action relief from broker-dealer registration for two internet-based investment portals

Dow Lohnes PLLC
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USA
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May 10 2013

The SEC recently issued two No-Action letters providing relief from registering as a broker-dealer under Section 15(b) of the Securities Exchange Act

SEC issues guidance on use of social media in the context of regulation FD disclosures

Dow Lohnes PLLC
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USA
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April 5 2013

On July 3, 2012, the CEO of Netflix, Inc., Reed Hastings, used his personal Facebook account to announce that Netflix had reached a milestone

Supreme Court finds materiality not required for class certification for securities fraud class actions

Dow Lohnes PLLC
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USA
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March 11 2013

On February 27, 2013, in Amgen Inc. et al. V. Connecticut Retirement Plans and Trust Funds, the Supreme Court held that materiality is not a required

Supreme Court clarifies use of the discovery rule in SEC enforcement actions

Dow Lohnes PLLC
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USA
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March 11 2013

On February 27, 2013, in Gabelli et al. v. Securities and Exchange Commission, the Supreme Court resolved the issue of when the statute of

"Whistleblowers are our best weapon against fraud"

Dow Lohnes PLLC
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USA
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February 5 2013

In the late 1980s, total health care fraud recoveries from whistleblower lawsuits averaged $5 million to $10 million a year. Last year, the U.S

"MOOCcs and consequences"

Dow Lohnes PLLC
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USA
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February 4 2013

Michael Goldstein and Matthew Rizzolo co-authored "MOOCs and Consequences" which was published in College Planning and Management Magazine. It should

SEC approves new NYSE and NASDAQ listing standards relating to compensation committees

Dow Lohnes PLLC
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USA
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February 1 2013

On January 11, 2013, the Securities and Exchange Commission (the "SEC") approved new listing standards relating to compensation committees proposed

"The implications of patent rulings with limited remedies"

Dow Lohnes PLLC
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USA
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January 30 2013

David Long and Matthew Rizzolo co-authored "The Implications of Patent Rulings With Limited Remedies" which was published by All Things Digital

SEC releases 2012 whistleblower updates

Dow Lohnes PLLC
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USA
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December 18 2012

Section 922 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) amended the Securities Exchange Act of 1934, by creating Section 21F “Securities Whistleblower Incentives and Protection,” which is designed to grant monetary awards to individuals who provide original information that leads to successful enforcement actions by the Securities and Exchange Commission (the “SEC”

ISS releases guidelines for the 2013 proxy season

Dow Lohnes PLLC
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USA
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November 30 2012

After a comment period on draft policies, ISS issued its Global Benchmark Policy Guidelines on November 16, 2012

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Search results

SEC grants no-action relief from broker-dealer registration for two internet-based investment portals

SEC issues guidance on use of social media in the context of regulation FD disclosures

Supreme Court finds materiality not required for class certification for securities fraud class actions

Supreme Court clarifies use of the discovery rule in SEC enforcement actions

"Whistleblowers are our best weapon against fraud"

"MOOCcs and consequences"

SEC approves new NYSE and NASDAQ listing standards relating to compensation committees

"The implications of patent rulings with limited remedies"

SEC releases 2012 whistleblower updates

ISS releases guidelines for the 2013 proxy season

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