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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 successful in rare application of Section 1103 of Sarbanes-Oxley Act
- Katten Muchin Rosenman LLP
- -
- USA
- -
- April 11 2008
On April 9, the Securities and Exchange Commission announced the successful completion of its efforts to prevent a $29.5 million severance package from being paid to the former CEO of Gemstar-TV Guide International, Henry C. Yuen, who committed securities fraud prior to leaving Gemstar
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
Treasury Department proposes new “say-on-pay” legislation
- Katten Muchin Rosenman LLP
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- USA
- -
- July 17 2009
On July 16, the U.S. Treasury Department delivered draft “say-on-pay” legislation to Congress that would require that all publicly traded companies allow shareholders a non-binding vote on executive compensation as disclosed in the company’s proxy statement for annual meetings held after December 15
SEC unveils new online interactive tool to compare executive compensation
- Katten Muchin Rosenman LLP
- -
- USA
- -
- January 11 2008
On December 21, the Securities and Exchange Commission launched the Executive Compensation Reader, an online interactive tool that enables investors to compare the compensation of top executives as reported in proxy statements for the fiscal year ended 2006 by 500 of the largest U.S. public companies
Court dismisses derivative suit for failure to plead “demand futility”
- Katten Muchin Rosenman LLP
- -
- USA
- -
- January 11 2008
A shareholder derivative suit alleging that a majority of the Board of Directors of Aspen Technologies (Aspen) abdicated their fiduciary duty by awarding backdated stock options was dismissed because the plaintiff failed to adequately plead “demand futility,” i.e., that plaintiff was excused from demanding that the Board assert the backdating claim because, under the circumstances, making such a demand would have been futile
Broker deal: NASD Form U-5 statements ruled absolutely privileged from a defamation claim
- Katten Muchin Rosenman LLP
- -
- USA
- -
- April 6 2007
In a 4-2 opinion (Chief Judge Kaye not participating), the New York Court of Appeals answered a certified question from the Second Circuit U.S. Court of Appeals that statements made by an employer on an NASD termination notice are subject to an absolute privilege rather than a qualified privilege in a suit for defamation
Derivative action dismissed for failure to plead “demand futility”
- Katten Muchin Rosenman LLP
- -
- USA
- -
- April 20 2007
Following the release of a highly publicized list of companies, including CNET, “at risk” for options backdating and CNET’s announcement that it had appointed a special committee of independent directors to investigate its stock option practices, Plaintiffs filed a derivative action alleging claims under sections 10(b), 14(a), and 20(a) of the Exchange Act of 1394 and section 304 of Sarbanes-Oxley
SEC approves market-based options valuation
- Katten Muchin Rosenman LLP
- -
- USA
- -
- February 2 2007
In a January 25 letter, the Securities and Exchange Commission’s Chief Accountant, Conrad Hewitt, gave financial services firm Zions Bancorporation permission to implement its market-based system to determine the value of options granted to employees, subject to certain modifications to eliminate the effect of forfeiture rates on pricing
SEC staff critiques 2007 executive compensation disclosure
- Katten Muchin Rosenman LLP
- -
- USA
- -
- October 12 2007
The Staff of the Division of Corporation Finance of the Securities and Exchange Commission published a report this week discussing the principal themes and comment areas that emerged from its review of compliance by 350 public companies with the SEC’s new executive compensation disclosure rules
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