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Results: 1-10 of 485

SEC awards and denies whistleblower claims in hedge fund case

  • Leonard, Street and Deinard
  • -
  • USA
  • -
  • June 12 2013

On October 26, 2011, the Commission filed an enforcement action in SEC v. Andrey C. Hicks and Locust Offshore Management, LLC, 1:11-cv-11888-RGS (D

AICPA addresses independence on conflict minerals audits

  • Leonard, Street and Deinard
  • -
  • USA
  • -
  • June 12 2013

The AICPA has issued non-authoritative guidance which provides that auditing an SEC issuer's financial statements and performing an independent

Crowdfunding and JOBS Act news roundup May 31, 2013

  • Leonard, Street and Deinard
  • -
  • USA
  • -
  • May 31 2013

President Obama has nominated a pair of Senate aids to be SEC Commissioners. Dr. Michael Piwowar is the Chief Economist for the U.S. Senate Committee

SEC issues FAQS on disclosure of payments by resource extraction issuers

  • Leonard, Street and Deinard
  • -
  • USA
  • -
  • May 30 2013

The SEC has issued nine frequently asked questions, or FAQs, on the disclosure of payments by resource extraction issuers. Guidance offered by the

Governor Dayton signs investment adviser bill

  • Leonard, Street and Deinard
  • -
  • USA
  • -
  • May 28 2013

On May 24, 2013, Governor Dayton signed into law several changes to the investment adviser statutes in Minnesota. We previously analyzed this

ISS charged with selling shareholder vote data; agrees to $300,000 settlement

  • Leonard, Street and Deinard
  • -
  • USA
  • -
  • May 24 2013

The SEC and Institutional Shareholder Services, Inc. (ISS) have settled public administrative and cease-and-desist proceedings initiated against

Court finds internal reporting by whistleblower entitled to Dodd-Frank protections

  • Leonard, Street and Deinard
  • -
  • USA
  • -
  • May 23 2013

In Murray v. UBS Securities LLC et al (12-CV-5914 S.D.N.Y.) the court found that an employee who reports violations of securities laws to his

SEC provides no-action relief on Regulation BTR

  • Leonard, Street and Deinard
  • -
  • USA
  • -
  • May 22 2013

Broadly speaking, SEC Regulation BTR prohibits directors and executive officers of public companies from trading in the issuer's securities which

SEC Commissioner comments on JOBS Act; immigration reform

  • Leonard, Street and Deinard
  • -
  • USA
  • -
  • May 21 2013

On May 18, 2013, SEC Commissioner Luis A. Aguilar spoke at the annual gala of the Georgia Hispanic Chamber of Commerce, using the opportunity to

Conflict minerals and resource extraction challenges proceed on accelerated basis

  • Leonard, Street and Deinard
  • -
  • USA
  • -
  • May 21 2013

We previously noted that the challenge to the SEC's conflict minerals rules was transferred from the Court of Appeals to the United States District

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