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Underwater stock options: NASDAQ rules requiring shareholder approval with respect to option plans

USA - April 15 2009 Many issuers are contemplating changes to their option plans to address issues with respect to underwater options.

Anne Cotter

D&O questionnaire update forms for 2014

USA - December 1 2013 The SEC has adopted rules prohibiting "bad actors" from using Rule 506 after September 23, 2013 (the effective date of the rules), or if prohibited…

David C. Jenson, Stephen M. Quinlivan

Accredited crowdfunding, internet advertising and general solicitation

USA - April 4 2013 The SEC recently granted two accredited crowdfunding sites exemptions from the broker-dealer rules because the type of carried interest (or close…

Examples of Dodd-Frank disclosures in SEC filings

USA - October 1 2010 Dodd-Frank disclosures have begun to proliferate in SEC filings.

Whistleblower law firm complains to SEC

USA - May 17 2013 Two partners from a self-described law firm that specializes in the representation of whistleblowers have sent a letter to the SEC Commissioners…