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Nasdaq proposes new internal audit function requirement
- Kilpatrick Townsend & Stockton LLP
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- USA
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- March 18 2013
On March 4, 2013, Nasdaq issued a proposed new rule that, if approved by the Securities and Exchange Commission ("SEC"), will require listed
SEC initiates enforcement actions against auditors and executives of failed banks
- Kilpatrick Townsend & Stockton LLP
- -
- USA
- -
- February 13 2013
Last month, the Securities and Exchange Commission's ("SEC") Enforcement Division filed two unrelated civil complaints - one against two KPMG
Will the SEC's recently adopted conflict minerals rule impact you?
- Kilpatrick Townsend & Stockton LLP
- -
- Democratic Republic of Congo, USA
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- October 24 2012
On August 22, 2012, pursuant to Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, 15 U.S.C. 78m(p), the Securities Exchange Commission (the SEC) adopted a final rule requiring certain publicly traded companies to disclose whether they use “conflict minerals” in their products and describe the efforts that they have undertaken to ensure their use of those minerals does not contribute to the ongoing conflict in the Democratic Republic of Congo and adjoining countries (the Covered Countries
SEC conflict minerals rule appears to exclude branded licensed products and some private label goods from disclosure requirements but questions remain
- Kilpatrick Townsend & Stockton LLP
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- USA
- -
- August 27 2012
On August 22, 2012, the Securities and Exchange Commission (“SEC”) issued its final rule implementing a provision of the Dodd-Frank financial reform legislation that requires publicly traded companies to disclose whether their products contain the minerals tantalum, tin, gold or tungsten, which have been associated with financing of warfare in the Democratic Republic of Congo and surrounding areas of Central Africa
The JOBS Act: what to expect from the not-so-private private placement regulations
- Kilpatrick Townsend & Stockton LLP
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- USA
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- April 24 2012
One of the most significant provisions of the Jumpstart Our Business Startups Act, which was signed into law by President Obama on April 5, 2012, is the removal of the prohibition on general solicitation and advertising for securities offerings made pursuant to Rule 506 of Regulation D under the Securities Act of 1933 so long as sales are made only to accredited investors
SEC interprets JOBS Act changes to registration and deregistration requirements
- Kilpatrick Townsend & Stockton LLP
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- USA
- -
- April 16 2012
On April 11, 2012, the SEC issued guidance, in the form of Frequently Asked Questions (FAQs), on the implementation of changes to Securities Exchange Act of 1934 (Exchange Act) registration and deregistration standards as a result of the passage of the Jumpstart Our Business Startups (JOBS) Act
New JOBS Act facilitates private and public capital formation
- Kilpatrick Townsend & Stockton LLP
- -
- USA
- -
- April 5 2012
The President is expected to sign into law this week the new Jumpstart Our Business Startups (JOBS) Act, which ushers in a series of reforms to facilitate capital formation by start-ups and other small or emerging enterprises by easing securities law compliance requirements
SEC issues disclosure guidance for cybersecurity risks and incidents
- Kilpatrick Townsend & Stockton LLP
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- USA
- -
- October 18 2011
On October 13, the Securities and Exchange Commission's Division of Corporation Finance issued written guidance regarding disclosure obligations relating to cybersecurity risks and cyber incidents (i.e., actual incidents of data breaches or other cyber attacks
Deadline for meeting the new investment adviser regulatory requirements under the Dodd-Frank Act is quickly approaching
- Kilpatrick Townsend & Stockton LLP
- -
- USA
- -
- September 20 2011
On July 21, 2010, President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act), which, among other things, significantly amended the regulatory requirements applicable to investment advisers under the Investment Advisers Act of 1940 (the Advisers Act
SEC adopts final rules to implement advisory vote on executive compensation and golden parachute payments
- Kilpatrick Townsend & Stockton LLP
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- USA
- -
- January 28 2011
On January 25, 2011, the Securities and Exchange Commission (SEC) adopted rule changes to implement the provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to shareholder approval of executive compensation and "golden parachute" compensation arrangements
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