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Results: 1-10 of 410

The U.S. Securities and Exchange Commission brings its first whistleblower enforcement action based upon an allegedly overbroad employee confidentiality agreement

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • April 10 2015

The U.S. Securities and Exchange Commission (SEC) has now brought its first whistleblower enforcement action against a publicly traded company under

U.S. Supreme Court clarifies liability for opinions in registration statements

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • April 3 2015

Opinions in registration statements continue to be one of the most commonly litigated items under Section 11 of the Securities Act of 1933 ("Section

FINRA adopts Rule to permit sharing of transaction based compensation to unregistered persons

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • March 25 2015

The Securities and Exchange Commission (SEC) has approved the Financial Industry Regulatory Authority's FINRA Rule 2040, which will permit the

FCPA officials point to dollars-and-cents benefits to self-disclosure and cooperation

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • March 19 2015

High ranking officials in the Department of Justice (DOJ) and Securities and Exchange Commission (SEC) said on March 12 that companies that fail to

Once again, house takes up bill governing M&A brokers

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • February 9 2015

HR 686, The Small Business Mergers, Acquisitions, Sales & Brokerage Simplification Act, was introduced in the U.S. House of Representatives on Feb. 3

Comment by Feb. 16 on proposed uniform state model rule for M&A brokers

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • January 20 2015

The Broker-Dealer Section of the North American Securities Administrators Association is seeking comments no later than Feb. 16, 2015, on a proposed

Bill governing M&A brokers should resurface in 2015

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • December 29 2014

During 2014, Congress has gained momentum toward creating an exemption from federal broker-dealer registration for "M&A brokers" who facilitate

Late Form 4s aren’t just embarrassing anymore

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • September 11 2014

Yesterday, the SEC announced penalties totaling approximately $2.6 million against directors, officers, beneficial owners and issuers for failure to

U.S. Commerce Department acknowledges that conflict minerals are too hard to track

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • September 9 2014

According to a Wall Street Journal article reported by Emily Chasen, Senior Editor at The Wall Street Journal's CFO Journal, on Sept. 5, 2014, the U

SEC money market reform ERISA impact

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • August 25 2014

Our sister blog reported recently that the Securities and Exchange Commission (the "SEC") published final regulations that reform money market mutual