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Whistleblower law firm complains to SEC

Leonard, Street and Deinard
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USA
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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

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

Leonard, Street and Deinard
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USA
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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

Accredited crowdfunding, internet advertising and general solicitation

Leonard, Street and Deinard
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USA
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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

Hedge funds and private equity groups on SEC examination priority list

Leonard, Street and Deinard
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USA
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March 23 2013

The Office of Compliance Inspections and Examinations, or OCIE, administers the SEC's nationwide examination and inspection program. The National

SEC Commissioner gives speech on proxy disclosure

Leonard, Street and Deinard
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USA
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March 1 2013

SEC Commissioner Luis A. Aguilar recently gave a speech setting forth his views on proxy disclosure. Some of the more interesting points were: Mr

SEC official describes model to identify anomalous accounting results by registrants

Leonard, Street and Deinard
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USA
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February 19 2013

Craig M. Lewis, Chief Economist and Director, Division of Risk, Strategy, and Financial Innovation, U.S. Securities & Exchange Commission, described

Changes to D&O questionnaires to implement NYSE and NASDAQ compensation committee independence rules

Leonard, Street and Deinard
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USA
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February 1 2013

Both the NYSE and Nasdaq stock exchanges are requiring most issuers to have independent compensation committees by the earlier of their first annual

ISS offers issuers the chance to verify governance rating data

Leonard, Street and Deinard
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USA
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January 28 2013

ISS is in the process of rolling out a new governance rating called QuickScore, that will replace the GRID rating system. According to ISS

NYSE adopts uniform notice provision for listed issuers

Leonard, Street and Deinard
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USA
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January 21 2013

Various NYSE require listed companies to provide notice to the NYSE upon certain events. The methods specified to give notice vary from rule to rule

SEC official describes enforcement priorities for hedge funds

Leonard, Street and Deinard
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USA
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December 27 2012

Bruce Karpati, Chief, SEC Enforcement Division's Asset Management Unit, recently described enforcement priorities with respect to hedge funds. He noted

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