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The Ticker August 22 2014

  • Fredrikson & Byron PA
  • -
  • USA
  • -
  • August 22 2014

The Ticker is published by Fredrikson & Byron’s Public Companies Group and shares recent developments in SEC compliance, capital markets, corporate

Corporate governance update July 2014

  • Kelley Drye & Warren LLP
  • -
  • USA
  • -
  • August 15 2014

On July 30, 2014, the SEC announced charges against the CEO and former CFO of QSGI Inc., a Florida-based computer equipment company for

SEC charges CEO and former CFO with violation of Sarbanes-Oxley

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 8 2014

On July 30, the Securities and Exchange Commission charged computer equipment company QSGI Inc's CEO, Marc Sherman, and former CFO, Edward L

Vote-counting standards: a recipe for confusion?

  • Akin Gump Strauss Hauer & Feld LLP
  • -
  • USA
  • -
  • July 28 2014

Shareholder voting standards was a hot topic this proxy season and will likely continue to be of significant interest next proxy season and in

Anticipating activism - implications for your 2015 annual meeting of stockholders

  • Latham & Watkins LLP
  • -
  • USA
  • -
  • July 28 2014

Activist investors often begin planning their campaigns as much as a year in advance of the annual meeting. This includes accumulating stock

SEC approves FINRA Rule to prohibit conditioning customer settlements on expungement

  • BuckleySandler LLP
  • -
  • USA
  • -
  • July 25 2014

On July 23, FINRA announced that the SEC approved a new rule prohibiting FINRA-supervised firms and registered representatives from conditioning

The Ticker July 25 2014

  • Fredrikson & Byron PA
  • -
  • USA
  • -
  • July 25 2014

The Ticker is published by Fredrikson & Byron’s Public Companies Group and shares recent developments in SEC compliance, capital markets, corporate

Investment adviser proxy voting responsibilities & use of proxy advisory firms

  • Thompson Hine LLP
  • -
  • USA
  • -
  • July 24 2014

On June 30, 2014, the SEC's Division of Investment Management and Division of Corporation Finance issued a Staff Legal Bulletin providing guidance

The IPO and public company primer

  • Milbank Tweed Hadley & McCloy LLP
  • -
  • USA
  • -
  • July 24 2014

Initial public offering (IPO) deal type, volume and size have changed significantly over the last decade. From 2001 through 2003, following the burst

CAQ field testing of PCAOB auditor report proposals highlights potential implementation challenges

  • Baker & McKenzie
  • -
  • USA
  • -
  • July 23 2014

On June 20, the Center for Audit Quality released the findings of its field testing of the Public Company Accounting Oversight Board’s proposed