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Results: 1-10 of 371

May 1, 2013: SEC and CFTC red flag rules become effective May 20, 2013

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • May 14 2013

The Securities and Exchange Commission and the Commodity Futures Trading Commission have adopted rules that require most broker-dealers, mutual funds

Code Section 162(m) guidance issued regarding deductibility of dividends and dividend equivalents in equity awards

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • August 20 2012

The IRS recently issued an important ruling on whether dividends and dividend equivalents related to restricted stock and restricted stock units (“RSUs”) can be treated as performance-based compensation for purposes of Code Section 162(m

The sale of oil & gas working interests is the sale of a security

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • September 6 2012

It is unfortunately commonplace for many participants in the oil and gas industry, particularly in the sale of interests in oil and gas production activities, to ignore the requirements of federal and state securities laws applicable to these activities

SEC publishes handbook for foreign issuers: "accessing U.S. capital markets"

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • February 27 2013

This month the SEC released a handbook for foreign companies interested in registering and issuing securities on U.S. exchanges. The handbook, titled

Insider trading: a global problem

  • Porter Wright Morris & Arthur LLP
  • -
  • Global, USA
  • -
  • December 3 2010

Insider trading continues to dominate securities enforcement

SEC Division of Corporation Finance issues updated Financial Reporting Manual

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • January 25 2013

On January 18, 2013, the SEC Division of Corporation Finance issued an updated Financial Reporting Manual. The Manual was updated for issues related

SEC enforcement activity: Feb. 11- 15

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • February 18 2013

Last November, a federal judge in New York rejected a proposed settlement between the SEC and Citigroup in connection with charges of misleading

SEC launches website for the office of the whistleblower as rules become effective

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • August 12 2011

The SEC announced that its Whistleblower Rules, adopted on May 25, 2011 became effective today and the Commission launched its new web page (here) for that particular office

SEC's case against two executives from State Street Bank is dismissed

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • November 1 2011

On Friday, October 28, 2011, Chief Administrative Law Judge Brenda Murray dismissed the administrative proceeding against John Flannery and James Hopkins of State Street Bank and Trust

U.S. Supreme Court rejects argument that claims under 16(b) are tolled until a 16(a) disclosure statement is filed

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • March 26 2012

The U.S. Supreme Court ruled today that the two-year time limit for bringing an action under 16(b) of the Securities Exchange Act of 1934 is not tolled until after the filing of a 16(a) disclosure statement

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