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Results: 1-10 of 230

Will Judge Rakoff get his wish? changes to federal sentencing guidelines may alter the plea bargaining process

  • McGuireWoods LLP
  • -
  • USA
  • -
  • April 16 2015

In an article last fall, U.S. District Judge Jed Rakoff lamented the prevalence and process of plea bargaining in today’s criminal justice system

SEC charges group of unregistered broker-dealers trading in corporate bond market

  • McGuireWoods LLP
  • -
  • USA
  • -
  • April 6 2015

Last week, the Securities and Exchange Commission (SEC) charged more than 20 individuals and companies with violations of the Securities Exchange Act

Inadequate internal controls cost tech firm $750,000

  • McGuireWoods LLP
  • -
  • USA
  • -
  • April 3 2015

Without admitting or denying the U.S. Securities and Exchange Commission’s findings, Polycom Inc. settled with the agency on Tuesday, March 31, 2015

Biomet FCPA announcement highlights distributor-related risks

  • McGuireWoods LLP
  • -
  • USA
  • -
  • March 26 2015

Last week, Biomet Inc. announced in a filing with the U.S. Securities and Exchange Commission (SEC) that instead of its 2012 deferred prosecution

Spring 2015 SBIC debenture coupon rates move lower to 2.517 in largest SBIC offering

  • McGuireWoods LLP
  • -
  • USA
  • -
  • March 24 2015

In March 2015, the SBIC Funding Corporation completed a pooling of SBA debentures in the amount of $1.16 billion, the largest pooling in the program’s

SEC to vote on Regulation A this Wednesday - will state law preemption survive?

  • McGuireWoods LLP
  • -
  • USA
  • -
  • March 23 2015

On Friday, March 20, 2015, the SEC announced it will vote on its proposed changes to Regulation A at an open meeting on Wednesday, March 25, 2015

SEC awards $500k to company officer whistleblower

  • McGuireWoods LLP
  • -
  • USA
  • -
  • March 13 2015

On Monday, March 2, the Securities and Exchange Commission (SEC) announced that it will award between $475,000 and $575,000 to a corporate officer

SCOTUS narrows SOX obstruction statute

  • McGuireWoods LLP
  • -
  • USA
  • -
  • March 9 2015

In its recent ruling in Yates v. United States, the U.S. Supreme Court reversed a conviction under Sarbanes-Oxley’s “anti-shredding” statute, holding

SEC speaks 2015: enforcement highlights

  • McGuireWoods LLP
  • -
  • USA
  • -
  • February 26 2015

On February 20, 2015, the Securities and Exchange Commission (SEC) held its annual SEC Speaks conference, which updated the public regarding the

PCAOB update: 2015 budget and broker-dealer audits

  • McGuireWoods LLP
  • -
  • USA
  • -
  • February 20 2015

On Feb. 4, 2015, Public Company Accounting Oversight Board (PCAOB) Chairman James R. Doty provided an update on the Board’s 2015 budget at the