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Results: 1-10 of 201

One year later: SEC sanctions under Rule 105 of Regulation M

  • McGuireWoods LLP
  • -
  • USA
  • -
  • October 14 2014

On September 16, 2014, the Securities and Exchange Commission announced enforcement actions against 19 firms and an individual trader for short sales

SEC announces record-breaking award for foreign whistleblower in the wake of Liu v. Siemens

  • McGuireWoods LLP
  • -
  • USA
  • -
  • October 7 2014

Recently, the SEC announced its largest whistleblower award to date - an expected award of $30-35 million - to be issued to a foreign resident

Second Circuit decides Dodd-Frank does not apply extraterritorially, skips addressing whistleblower protection for internal reporting

  • McGuireWoods LLP
  • -
  • USA
  • -
  • September 23 2014

The Dodd-Frank Act prohibits employers from retaliating against employees who act as whistleblowers by providing information related to a violation

SBA updates Technote 9 to reflect overline limit increase

  • McGuireWoods LLP
  • -
  • USA
  • -
  • September 22 2014

This month, the U.S. Small Business Administration (SBA) released an updated SBIC TechNote 9: Guidance for Obtaining a Regulatory Exemption for

Does your CD&A need a Section 162(m) disclosure the alternate view

  • McGuireWoods LLP
  • -
  • USA
  • -
  • September 16 2014

In our September 4 post, we discussed the case for eliminating the Section 162(m) disclosures in proxy statements

Going inside for insider trading

  • McGuireWoods LLP
  • -
  • United Kingdom, USA
  • -
  • September 11 2014

It is always assumed that sentences in the US for any crime are significantly higher than they are in the UK, but nowhere is this more starkly

SEC charges 28 corporate insiders with failing to disclose transactions in company stock

  • McGuireWoods LLP
  • -
  • USA
  • -
  • September 11 2014

On September 10, 2014, the Securities and Exchange Commission (SEC) announced the results of its first-ever sweeping investigation into violations of

New equity plan “must-do”: ISS data verification program

  • McGuireWoods LLP
  • -
  • USA
  • -
  • September 3 2014

ISS has announced a new program that allows companies to verify the data that ISS will use to evaluate a new or amended equity plan. The "Equity Plan

The SEC waives eligibility requirement and awards whistleblower $400,000

  • McGuireWoods LLP
  • -
  • USA
  • -
  • August 26 2014

Waiving one of the whistleblower award eligibility requirements, the Securities and Exchange Commission recently awarded more than $400,000 to a

SEC guidance on liability of compliance officers: lessons from recent cases

  • McGuireWoods LLP
  • -
  • USA
  • -
  • August 13 2014

In a May 20, 2014, speech, U.S. Securities and Exchange Commission (SEC) Director of Enforcement Andrew Ceresney outlined the circumstances in which