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Mark Cuban insider trading case

Porter Wright Morris & Arthur LLP
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USA
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May 28 2009

On Tuesday Dallas Mavericks owner Mark Cuban had his first hearing in an insider trading case brought by the SEC

SEC Inspector General report finds lack of impartiality

Porter Wright Morris & Arthur LLP
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USA
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September 30 2009

Recently the SEC’s Inspector General reported on recommendations to the Commission’s Enforcement Division to improve enforcement in direct response to the Bernie Madoff scandal

SEC investor protection measures

Porter Wright Morris & Arthur LLP
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USA
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June 4 2009

The SEC is pursuing a slew of investor protection measures: in public remarks earlier this year, SEC Commissioner Elisse Walter and Chairman Schapiro expressed support for say-on-pay proposals

E-proxy and disclosures that go unread

Porter Wright Morris & Arthur LLP
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USA
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February 20 2009

As reported at The Corporate Counsel earlier this week, SEC Commissioner Luis Aguilar has recently lamented the fact that there was a sharp decrease last year in the number of retail investors who voted their proxies

Schapiro's Open Letter to broker-dealer CEOs questions incentives

Porter Wright Morris & Arthur LLP
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USA
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September 11 2009

SEC Chairman Schapiro has reminded broker-dealer CEOs in an Open Letter dated August 31, 2009, that they have a responsibility to oversee the sales practices of their registered representatives

SEC proposes new credit rating agency rules

Porter Wright Morris & Arthur LLP
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USA
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September 19 2009

Back in January when securities lawyers were predicting what 2009 held in store for the SEC, lots of people predicted more credit rating agency regulations

Potential executive compensation proxy disclosures

Porter Wright Morris & Arthur LLP
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USA
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June 18 2009

A variety of sources are now proposing new rules for financial markets and corporate governance

SEC whistleblower policy

Porter Wright Morris & Arthur LLP
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USA
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March 6 2009

The SEC announced yesterday a new initiative to improve internal procedures for evaluating tips, complaints, and referrals

Proxy access postponed

Porter Wright Morris & Arthur LLP
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USA
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October 21 2009

Earlier this month, SEC Chairman Mary Schapiro said the Commission will postpone finalizing a proxy access rule that would allow investors to propose director candidates on the company proxy statement

Congressional insider trading

Porter Wright Morris & Arthur LLP
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USA
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June 30 2009

On Friday the Cleveland Plain Dealer reported that members of the U.S. House Financial Services Committee bought and sold financial stocks last fall, at the same time that the Committee was approving the bailout, and in the same companies that the Committee would later criticize for incompetence and greed

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