The SEC today announced settled Reg FD charges against Office Depot and its CEO and former CFO related to “signals” that Office Depot made in one-on-one conversations with analysts im...
You may recall that last year a federal district court in Texas dismissed the SEC’s insider trading case against Mark Cuban, on the theory that a simple confidentiality agreement withou...
On September 18, 2010, the SEC proposed amendments which would require both financial and nonfinancial companies to disclose additional information in registration statements and periodic...
Last year, New York State enacted significant amendments to Title 15 of Article 5 of the New York General Obligations Law governing powers of attorney executed by individuals in New York ...
On July 21, 2010, President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Act”). While the crux of the Act regulates financial institutions...
The Dodd-Frank Wall Street Reform and Consumer Act recently signed into law by the President contains three new disclosure requirements applicable to mining and natural resource extractio...
Among the many provisions contained in The Dodd-Frank Wall Street Reform and Consumer Protection Act (signed into law by the President today), is a provision which nullifies Rule 436(g) u...
NASDAQ has amended its rules to require a NASDAQ listed company to promptly notify NASDAQ after an executive officer becomes aware of “any noncompliance” with its corporate governance...
On June 24, 2010, the Supreme Court issued an important decision narrowing the reach of the key antifraud provisions of the Securities Exchange Act of 1934 (“Exchange Act”) with respe...
At a meeting of the ABA Subcommittee on Securities Regulation last Friday, Tom Kim, Chief Counsel, SEC Division of Corporation Finance, indicated that the SEC’s proposed amendment to Ru...
