From the Sox Up is a blog about the latest developments in securities law and corporate governance, and is hosted by the Securities and Corporate Governance Specialty Practice Group at Gardere Wynne Sewell LLP, a Texas-based full-service law firm. Contributing authors to From the Sox Up are corporate and securities, tax and other attorneys at Gardere.
Articles: 1-9 of 9
New Texas M&A broker exemption
USA - March 26 2015 Effective February 16, 2015, the Texas State Securities Board (the "Securities Board") adopted a new rule, Section 139.27 of Title 7 of the Texas…
Questions regarding new exemptive rules for Texas investment advisers to private funds, part 2
USA - January 8 2015 In our previous post , we addressed a set of questions regarding the ability of an investment adviser to a private fund to remain exempt from…
Questions regarding new exemptive rules for Texas investment advisers to private funds, part 1
USA - January 6 2015 We have received a number of questions over the last few months regarding the new Texas investment-adviser-registration exemptive rules that became…
Court clarifies “personal benefit” for insider-trading liability
USA - December 22 2014 The recent decision of the federal Second Circuit Court of Appeals in U.S. v. Newman et al. (December 10, 2014) is noteworthy for a few reasons…
A reminder for departing officers and directors
USA - December 3 2014 Public companies occasionally must deal with officer or director departures, and when that occurs, the company would be well-served by reminding the…
Making your list and checking it twice: 2014 year-end benefit plan – related actions
USA - November 10 2014 As we enter into the last two months of 2014, there are several year-end employee benefit-related matters that should be reviewed and checked off an…
New Texas crowdfunding rules – ten factors to consider
USA - November 3 2014 So you'd like to take advantage of the new Texas intrastate crowdfunding rules, when they're effective in late November, to raise money for your…
NASDAQ listed? Only 24 hours left to file compensation committee certification!
USA - October 30 2014 Just a friendly reminder that issuers listed on the NASDAQ Stock Market (“NASDAQ”) must file a one-time certification certifying compliance with the…
The SEC’s Investor Advisory Committee ponders change to accredited investor definition
USA - October 9 2014 On Thursday, October 9, the Investor Advisory Committee of the Securities and Exchange Commission will meet to discuss whether to recommend a change…
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