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Results: 1-10 of 176

SEC Division of Corporation Finance begins comprehensive disclosure focusing review on forms 10-K, 10-Q and 8-K

  • McGuireWoods LLP
  • -
  • USA
  • -
  • April 16 2014

On April 11, 2014, the SEC set up a spotlight page on its website relating to disclosure effectiveness. The SEC indicates that its Division of

Conflict minerals rule partially struck down by Federal Appellate Court

  • McGuireWoods LLP
  • -
  • Democratic Republic of Congo, USA
  • -
  • April 15 2014

The U.S. Court of Appeals for the District of Columbia Circuit issued an opinion yesterday reversing, on First Amendment grounds, the portion of the

Still in its sights: the SEC continues its increased scrutiny of hedge funds

  • McGuireWoods LLP
  • -
  • USA
  • -
  • April 10 2014

As we have previously reported, the SEC is increasingly scrutinizing hedge funds and other private funds and has suggested that it will pursue

SEC staff announces self-reporting initiative available to municipal securities issuers, obligated persons, and underwriters

  • McGuireWoods LLP
  • -
  • USA
  • -
  • April 4 2014

The Securities and Exchange Commission recently announced a self-reporting initiative available to issuers, obligated persons and underwriters

Supreme Court ERISA “stock-drop” argument features debate over fiduciary duties

  • McGuireWoods LLP
  • -
  • USA
  • -
  • April 4 2014

Earlier this week, in a crowded Supreme Court courtroom, lawyers and justices debated the ERISA fiduciary duties of employers who sponsor employee

SBIC Advisers Relief Act of 2014 introduced to lower regulatory costs and clarify obligations of SBIC advisers

  • McGuireWoods LLP
  • -
  • USA
  • -
  • March 27 2014

On March 11, 2014, Rep. Blaine Luetkemeyer (R-MO) introduced the SBIC Advisers Relief Act of 2014 (the "SBIC Relief Act"). Under current regulations

Avoiding waiver when disclosing facts to the government

  • McGuireWoods LLP
  • -
  • USA
  • -
  • March 26 2014

All but a handful of courts find that companies disclosing privileged communications or protected work product to the government waive both of those

If insider trading forfeitures are deductible, what about clawbacks?

  • McGuireWoods LLP
  • -
  • USA
  • -
  • March 14 2014

There is little guidance about whether and how an executive who has compensation clawed back can take a tax deduction for the amount repaid. A new

Deutsche Bank first to sell securities backed by PACE bonds

  • McGuireWoods LLP
  • -
  • USA
  • -
  • March 10 2014

Deutsche Bank AG (DBK) sold the first securities backed by bonds tied to U.S. energy-saving projects in a deal that follows a federal agency's

Who is protected by the Sarbanes-Oxley and Dodd-Frank whistleblower anti-retaliation provisions? The Supreme Court and SEC weigh in.

  • McGuireWoods LLP
  • -
  • USA
  • -
  • March 10 2014

The Sarbanes-Oxley Act ("Sarbanes-Oxley") and Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank") whistleblower anti-retaliation