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382 results found

Article

Winston & Strawn LLP | USA | 16 Jun 2011

SEC adopts final rules to establish whistleblower program

On May 25, 2011, the Securities and Exchange Commission (the “SEC” or the “Commission”) adopted final rules (the “Final Rules”) to implement Section 21F of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) “Securities Whistleblower Incentives and Protection.”

Article

Porter Wright Morris & Arthur LLP | USA | 3 Dec 2010

FCPA enforcement: crafting incentives to foster compliance

FCPA enforcement has been marked by the aggressive approach adopted in recent years by The Department of Justice and the SEC.

Article

Herrick Feinstein LLP | USA | 17 Nov 2010

SEC proposes “family office” definition

On October 12, 2010, the SEC proposed Rule 202(a)(11)(G)-1 to define "family offices," which will be excluded from the definition of "investment adviser" under the Investment Advisers Act of 1940, as amended, and invited comment.

Article

Quarles & Brady LLP | USA | 30 Jun 2010

Dodd-Frank moves closer to passage

The House-Senate conferees finalized a bill last Friday that is designed to, among other things, reform the corporate governance and compensation practices of public companies.

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