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Results: 1-10 of 18,384

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

City charged by SEC with misrepresentations in bond market

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • May 22 2013

The SEC brought another action against a City for inadequate disclosure in connection with a municipal bond offering. In the Matter of the City of

"Are we there yet": permitting general solicitation or general advertising in Rule 506 private placements to accredited investors

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • May 22 2013

On April 5, 2012, President Obama signed into law the Jumpstart Our Business Startups Act (the "JOBS Act"). Section 201(a)(1) of the JOBS Act

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

The Temp: interim CEO service and director independence

  • Latham & Watkins LLP
  • -
  • USA
  • -
  • May 22 2013

"The Temp" was a 1993 thriller about a cookie company executive and a killer temp. The critics were unimpressed (Faye Dunaway won a Razzie award for

Guidance on compensation committees’ assessment of adviser independence

  • Gibson Dunn & Crutcher LLP
  • -
  • USA
  • -
  • May 22 2013

As discussed in our April 26, 2013 posting on the Gibson Dunn Securities Regulation and Corporate Governance Monitor, under recently amended NYSE

Could the SEC become irrelevant?

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • May 22 2013

New SEC Chair Mary Jo White many well be facing an early test of her leadership. The battle ground could be money market reform. The stakes are high

DOL releases fiduciary tips for selecting target date funds

  • Snell & Wilmer
  • -
  • USA
  • -
  • May 21 2013

In recent years, target date funds (TDFs) have become a popular investment option for many 401(k) plan participants. By investing in a mix of stocks

NYSE and NASDAQ compensation committee adviser independence rules effective July 1, 2013

  • Proskauer Rose LLP
  • -
  • USA
  • -
  • May 21 2013

Publicly traded companies are reminded of the approaching deadline for compliance with certain of the SEC-approved final amendments of the NYSE and

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

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