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435 results found

Article

DLA Piper | USA | 7 Dec 2017

The Financial Report, Vol. 6, No. 22 - US Judicial Developments

Complaints of fraudulent reviews insufficient to support securities fraud claims against Yelp. The FTC disclosed complaints that Yelp had manipulated

Article

Nutter McClennen & Fish LLP | USA | 16 Sep 2016

SEC Shines Spotlight on Employee Confidentiality Provisions

The Securities and Exchange Commission (the “SEC”) recently announced that it paid a whistleblower award of more than $22 million, when a

Article

Herbert Smith Freehills LLP | USA | 12 Jul 2016

US Prosecutors and Legislators Continue to Show Interest in Investigating and Litigation Climate Change Claims Against Oil and Gas Companies

Oil and gas companies that have taken public positions on the threat of climate change - or have funded industry groups or independent scientific

Article

Morrison & Foerster LLP | USA | 15 Jul 2013

Dodd-Frank update: SEC adopts bad actor disqualifications for private placements under Regulation D

On July 10, 2013, the Securities and Exchange Commission (the "SEC" or "Commission") adopted amendments to rules promulgated under Regulation D to

Article

Sheppard Mullin Richter & Hampton LLP | USA | 9 May 2012

SEC staff issues report on the cross-border scope of private rights of action for securities fraud

The staff of the Securities and Exchange Commission (“SEC”) recently released a study on the cross-border scope of the private right of action under Section 10(b) of the Securities Exchange Act of 1934 (the “Exchange Act”), 15 U.S.C. 78j(b), and SEC Rule 10b-5, 17 C.F.R. 240.10b-5, promulgated thereunder.

Article

Williams Mullen | USA | 8 Nov 2011

OSHA issues interim final rule and request for comment on amendments to procedures for handling Sarbanes-Oxley whistleblower complaints

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”).

Article

Chadbourne & Parke LLP | USA | 3 Oct 2011

Insurance and banking departments merge in New York; new Department of Financial Services starts operating

As of today, the New York Insurance Department and New York Banking Department have ceased operating as separate agencies, and a new Department of Financial Services ("DFS") has begun to function which will regulate both banking and insurance in New York.

Article

Dechert LLP | USA | 6 Jun 2011

SEC proposes amendments to disqualify “bad actors” from Rule 506 private placements

The Securities and Exchange Commission (“SEC”) on May 25, 2011 proposed amendments to Rules 501 and 506 of Regulation D and to Form D in order to implement Section 926 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”).

Article

Morrison & Foerster LLP | USA | 3 Jun 2011

Dodd-Frank: SEC proposes bad actor disqualifications for private placements under Regulation D

On May 25, 2011, the Securities and Exchange Commission (the “SEC” or “Commission”) proposed amendments to rules promulgated under Regulation D to implement Section 926 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”).

Article

Ballard Spahr LLP | USA | 25 May 2011

SEC approves final rules for whistleblower program

By a 3-2 vote, the Securities and Exchange Commission today approved final rules that financially reward whistleblowers whose tips lead to successful SEC enforcement.

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