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SEC adopts final rules requiring listing standards for compensation committees and advisers
- Katten Muchin Rosenman LLP
- -
- USA
- -
- June 21 2012
On June 20, the Securities and Exchange Commission adopted a final rule that requires national securities exchanges to adopt listing standards regarding the independence of compensation committees and compensation advisers of public companies
SEC seeks repayment of executive compensation based on Sarbanes-Oxley Act
- Katten Muchin Rosenman LLP
- -
- USA
- -
- April 13 2012
The Securities and Exchange Commission recently filed a complaint in Federal Court in Texas against Michael A. Baker, the former Chief Executive Officer of ArthroCare Corporation (ArthroCare), and Michael T. Gluk, its former Chief Financial Officer, asserting claims under Section 304 of the Sarbanes-Oxley Act of 2002 (Sarbanes-Oxley
SEC adopts final rules for whistleblower program under Dodd-Frank Act
- Katten Muchin Rosenman LLP
- -
- USA
- -
- June 2 2011
On May 25, 2011, the Securities and Exchange Commission adopted by a 3-2 vote final rules implementing the whistleblower program under Section 21F of the Securities Exchange Act of 1934 (the "Exchange Act") as required by Section 922 of the Dodd- Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act"
SEC to propose whistleblower incentive rules
- Katten Muchin Rosenman LLP
- -
- USA
- -
- October 29 2010
The Dodd-Frank Wall Street Reform and Consumer Protection Act added Section 21F to the Securities Exchange Act of 1934
Whistleblower’s claim dismissed for lack of subjective belief
- Katten Muchin Rosenman LLP
- -
- USA
- -
- July 2 2010
The U.S. Court of Appeals for the Eleventh Circuit upheld the U.S. Department of Labor’s review of a summary dismissal of a whistleblower complaint filed by petitioner Michael Gale, the Chief Operations Officer and a director of World Securities Group (WSG), the affiliated broker-dealer of World Financial Group (WFG
SEC issues new interpretations on executive compensation and compensation consultant reporting
- Katten Muchin Rosenman LLP
- -
- USA
- -
- March 19 2010
On March 12, the Securities and Exchange Commission's Division of Corporation Finance issued new Compliance and Disclosure Interpretations (C&DIs) on executive compensation and compensation consultant reporting under Regulation S-K
SEC issues new interpretations on executive compensation and corporate governance reporting
- Katten Muchin Rosenman LLP
- -
- USA
- -
- February 19 2010
On February 16, the Securities and Exchange Commission's Division of Corporation Finance issued new Compliance and Disclosure Interpretations (C&DIs) on executive compensation reporting under Regulation S-K
Securities fraud claim under PSLRA not “frivolous”; sanctions unwarranted
- Katten Muchin Rosenman LLP
- -
- USA
- -
- February 5 2010
Michael Fishoff sued his former employer, Coty Inc., for alleged violations of the federal securities laws arising from Mr. Fishoff’s attempt to exercise options awarded to him pursuant to the company’s Long Term Incentive Plan
IRS can levy against non-transferable stock options
- Katten Muchin Rosenman LLP
- -
- USA
- -
- December 14 2009
The Internal Revenue Service recently concluded in Chief Counsel Advice 200926001 (CCA) that it could enforce a tax levy served on an individual taxpayer by seizing and selling incentive and non-qualified stock options he had received during his employment as an executive for the company issuing the options
FSA introduces remuneration code of practice
- Katten Muchin Rosenman LLP
- -
- United Kingdom
- -
- August 14 2009
On August 12, the UK Financial Services Authority (FSA) introduced a remuneration code of practice (the Code
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