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Results:1-10 of 238

SEC Proposes Change to Definition of Smaller Reporting Company
  • Seyfarth Shaw LLP
  • USA
  • August 1 2016

The U.S. Securities and Exchange Commission (the “SEC”) recently proposed changes to expand the number of U.S. public companies that would qualify as


SEC Proposes Amendments to Definition of ‘Smaller Reporting Company’
  • Katten Muchin Rosenman LLP
  • USA
  • July 8 2016

On June 27, the Securities and Exchange Commission proposed amendments to the definition of "smaller reporting company," which would increase certain


District court sustains whistleblower wrongful termination claim
  • Katten Muchin Rosenman LLP
  • USA
  • June 21 2012

Plaintiff Benjamin Ashmore brought a claim alleging that defendants CGI Group Inc. (CGI) and CGI Federal Inc. (CGI Federal) violated Section 806 of the Sarbanes-Oxley Act, otherwise known as the whistleblower provision.


OSHA issues interim final rule and request for comment on amendments to procedures for handling Sarbanes-Oxley whistleblower complaints
  • Williams Mullen
  • USA
  • November 8 2011

On November 3, 2011, the United States Department of Labor’s Occupational Safety and Health Administration (“OSHA”) issued an interim final rule to govern its procedures for processing whistleblower complaints under the Sarbanes-Oxley Act of 2002 (“Sarbanes-Oxley”).


OSHA seeking comment on SOX whistleblower complaint rules
  • Greenberg Traurig LLP
  • USA
  • November 7 2011

The U.S. Department of Labor’s Occupational Safety and Health Administration (OSHA) is seeking public comment on interim final rules that revise its regulations on the filing and handling of Sarbanes-Oxley Act (SOX) whistleblower complaints.


Legislative proposals to facilitate small business capital formation
  • Morrison & Foerster LLP
  • USA
  • October 13 2011

In our June 2011 client memorandum, we discussed H.R. 2167, the proposed bill introduced by Representative David Schweikert (R-AZ) to increase the threshold for mandatory registration for all companies under the Securities Exchange Act of 1934 (the “Exchange Act”) from 500 persons holding equity securities of record to 1,000 persons.


Extraordinarily long statute of limitations applies to SEC whistleblower retaliation actions
  • Fried Frank Harris Shriver & Jacobson LLP
  • USA
  • June 30 2011

In prior FraudMail Alerts, we pointed out that the new SEC whistleblower program borrowed many elements from the False Claims Act (“FCA”).


SEC issues proposed rules relating to compensation committee independence
  • Lathrop Gage LLP
  • USA
  • April 5 2011

The Securities and Exchange Commission (the "SEC") has issued a new proposed Rule 10C-1 and proposed amendments to Item 407(e) of Regulation S-K ("Reg S-K") (collectively, the "Proposed Rules") implementing Section 952 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, which added a new Section 10C of the Securities Exchange Act of 1934 (the "Exchange Act").


U.S. district court retroactively applies Dodd-Frank whistleblower restriction to bar arbitration provision in employment agreement
  • Eversheds Sutherland (US) LLP
  • USA
  • March 11 2011

In Pezza v. Investors Capital Corp., a Massachusetts federal district court held recently that Section 922 of the Dodd-Frank Act, which amends the Sarbanes-Oxley Act (SOX) whistleblower protections to bar enforcement of pre-dispute arbitration agreements in whistleblower challenges, applies retroactively.


District court applies Dodd-Frank's invalidation of pre-dispute arbitration agreements covering SOX whistleblower claims retroactively
  • Seyfarth Shaw LLP
  • USA
  • March 3 2011

Section 922 of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act"), enacted on July 21, 2010, amended the whistleblower provisions in Section 806 of the Sarbanes-Oxley Act of 2002 ("SOX") by invalidating pre-dispute arbitration agreements covering SOX whistleblower retaliation claims.