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Results: 1-10 of 479

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

Whistleblower law firm complains to SEC

  • Leonard, Street and Deinard
  • -
  • USA
  • -
  • May 17 2013

Two partners from a self-described law firm that specializes in the representation of whistleblowers have sent a letter to the SEC Commissioners

Crowdfunding and JOBS Act news roundup May 17, 2013

  • Leonard, Street and Deinard
  • -
  • USA
  • -
  • May 17 2013

This week the SEC appointed Keith F. Higgins as Director of the Division of Corporation Finance. We don't know him personally but have seen him speak

SEC Chair Mary Jo White on social media

  • Leonard, Street and Deinard
  • -
  • USA
  • -
  • May 16 2013

In testimony before the U.S. House of Representatives Committee on Financial Services, SEC Chair Mary Jo White stated that the Netflix Section 21(a

Crowdfunding and JOBS Act news roundup May 10, 2013

  • Leonard, Street and Deinard
  • -
  • USA
  • -
  • May 10 2013

It was another week of speculation as to when the SEC might finalize or propose any JOBS Act rule. Broc Romanek of the TheCorporateCounsel.net

PCAOB, auditors and executive compensation

  • Leonard, Street and Deinard
  • -
  • USA
  • -
  • May 8 2013

The Public Company Accounting Oversight Board, or PCAOB, has reproposed a new auditing standard, Related Parties, and certain other amendments to its

SEC warns public officials about potential liability

  • Leonard, Street and Deinard
  • -
  • USA
  • -
  • May 6 2013

The SEC instituted a settled cease-and-desist proceeding against the City of Harrisburg, Pennsylvania for its violations of Section 10(b) of the

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