Articles

Results 1 to 5 of 144


NASDAQ amended its independence standards for compensation committee members

USA - January 15 2014 On December 11, 2013, the SEC published a notice of filing and immediate effectiveness of the proposed rule change related to the independence of…

Yelena M. Barychev, Melissa Palat Murawsky, Michael E. Plunkett

SEC guidance on “bad actor” disqualifications from Rule 506 offerings

USA - January 15 2014 On December 4, 2013 and January 3, 2014, the SEC issued new Compliance and Disclosure Interpretations (C&DIs) clarifying the application of the "bad…

Yelena M. Barychev, Melissa Palat Murawsky, Michael E. Plunkett

SEC proposes “Regulation A+” amendments

USA - December 19 2013 The SEC has proposed regulations to amend Regulation A as required by the Jumpstart Our Business Startups Act (JOBS Act). Title IV of the JOBS Act…

Breaking bad (boy): SEC issues felon and “bad actor” disqualification guidance

USA - November 14 2013 The staff of the SEC released a Small Entity Compliance Guide discussing the application of the newly adopted regulations on the disqualification of…

Yelena M. Barychev, Melissa Palat Murawsky, Michael E. Plunkett

Insider trading updates: Cuban jury to SEC – no cigar; Heinz tippees revealed (but who were the tippers?)

USA - October 17 2013 The SEC loses some and wins some insider trading cases: The SEC's five year old insider trading case against Dallas Mavericks owner, Mark Cuban…