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Results: 1-10 of 153

Gaining whistleblower protection: engaging in activity protected by Dodd-Frank is not enough

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • November 19 2014

Earlier this month, a district court ruled that an employee simply engaging in activity protected by the Dodd-Frank Act's anti-retaliation provision

You operate in Africa, employ only Africans, and deal with only African governments: are you exempt from U.S. FCPA compliance? Maybe not

  • Greenberg Traurig LLP
  • -
  • Africa, USA
  • -
  • November 6 2014

Even though a company may operate only in Africa, the DOJ and SEC have adopted a broad view of their jurisdiction and have used a relatively small

Investor Advisory Committee recommends changes to accredited investor definition

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • October 30 2014

On Oct. 9, 2014, the Investor Advisory Committee (the Committee) formally presented its recommendation to the Securities Exchange Commission (the

CFTC removes big obstacle to hedge fund advertising

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • September 19 2014

On September 9, 2014, the U.S. Commodity Futures Trading Commission ("CFTC") eased long-standing marketing restrictions on private offerings by hedge

Steps to becoming a broker dealer

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • September 18 2014

Section 15(b) of the Securities Exchange Act of 1934 (the Act) requires registration of any broker-dealer effecting securities transactions by means

What is FINRA?

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • September 16 2014

The Financial Industry Regulatory Authority, Inc. (FINRA) regulates member brokerage firms and exchange markets in the United States. FINRA is a

SEC announces enforcement actions against public companies and corporate insiders based on failure to timely file transaction reports

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • September 16 2014

On September 10, 2014, the Securities and Exchange Commission (SEC) announced enforcement actions against 28 public company insiders for violating

Supreme Court modifies class certification procedure in securities fraud class actions

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • June 25 2014

On June 23, 2014, the Supreme Court issued its second decision in the long-running securities fraud class action against Halliburton (Halliburton II

Circuit court denies emergency motion to stay Conflict Minerals Rule; May 31 reporting deadline remains in place

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • May 16 2014

On May 14, 2014, the D.C. Circuit Court of Appeals denied the emergency motion filed by the National Association of Manufacturers and others for a

Conflict minerals rule update: emergency motion filed for complete stay of SEC's conflict minerals rule

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • May 7 2014

As public companies struggle to craft disclosure in their first Form SD filings due May 31, 2014 (June 2, 2014) consistent with guidance (Guidance