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Results: 1-10 of 120

Supreme Court clarifies use of the discovery rule in SEC enforcement actions
  • Dow Lohnes PLLC
  • USA
  • March 11 2013

On February 27, 2013, in Gabelli et al. v. Securities and Exchange Commission, the Supreme Court resolved the issue of when the statute of


Gainful Employment working group proposals will set stage for second round of negotiated rulemaking
  • Dow Lohnes PLLC
  • USA
  • September 30 2013

With the recent conclusion of the first negotiated rulemaking session between the U.S. Department of Education (ED) and non-federal negotiators


SEC Rule 13d-7
  • Dow Lohnes PLLC
  • USA
  • February 7 2011

At the recently held SEC Speaks in 2011 conference, Michele Anderson, chief of the Office of Mergers and Acquisitions in the Division of Corporation Finance, confirmed that the SEC will no longer enforce Rule 13d-7 promulgated under the Securities Exchange Act of 1934


SEC releases guidance on conflict minerals reporting
  • Dow Lohnes PLLC
  • Democratic Republic of Congo, USA
  • June 6 2013

On May 30, 2013, the SEC provided frequently asked questions and answers as guidance on the disclosure required by Rule 13p-1 of the Securities


SEC grants no-action relief from broker-dealer registration for two internet-based investment portals
  • Dow Lohnes PLLC
  • USA
  • May 10 2013

The SEC recently issued two No-Action letters providing relief from registering as a broker-dealer under Section 15(b) of the Securities Exchange Act


SEC issues guidance on use of social media in the context of regulation FD disclosures
  • Dow Lohnes PLLC
  • USA
  • April 5 2013

On July 3, 2012, the CEO of Netflix, Inc., Reed Hastings, used his personal Facebook account to announce that Netflix had reached a milestone


SEC approves final rule amendments allowing for general solicitation and general advertising in Rule 506 and Rule 144a offerings
  • Dow Lohnes PLLC
  • USA
  • July 11 2013

On Wednesday, June 10, 2013, the SEC approved amendments to Rule 506, Rule 144A and Form D to accommodate Section 201(a) of the JOBS Act, which


SEC approves new NYSE and NASDAQ listing standards relating to compensation committees
  • Dow Lohnes PLLC
  • USA
  • February 1 2013

On January 11, 2013, the Securities and Exchange Commission (the "SEC") approved new listing standards relating to compensation committees proposed


"Whistleblowers are our best weapon against fraud"
  • Dow Lohnes PLLC
  • USA
  • February 5 2013

In the late 1980s, total health care fraud recoveries from whistleblower lawsuits averaged $5 million to $10 million a year. Last year, the U.S


FTC releases updated guides on deceptive marketing practices by for-profit educational institutions
  • Dow Lohnes PLLC
  • USA
  • November 22 2013

For-profit schools and other higher education companies face increased exposure for deceptive marketing practices as a result of the Federal Trade