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Searching Content by Fredric Firestone ordered by Published Date Descending.
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1
Protecting Against SEC Whistleblower Enforcement Actions: Employment And Severance Agreements
Large fines have recently been imposed against public companies due to using confidentiality provisions that violate whistleblower provisions under federal securities law.
United States
11 Jan 2017
2
Whistleblowing In China And The United States
Recent events in China underscore the importance of dealing effectively with whistleblowers.
China
24 Sep 2013
3
Supreme Court Rules SEC Has Five Years to Seek Penalties
In an important decision, the Supreme Court held that the SEC has five years from when a fraud occurred to file an action to seek civil penalties.
United States
5 Mar 2013
4
SEC Adopts Final Rules On Dodd-Frank Whistleblower Program
Rules recently adopted by the U.S. Securities and Exchange Commission define the scope and procedures of the whistleblower provisions under the Dodd-Frank Wall Street Reform and Consumer Protection Act.
United States
27 May 2011
5
SEC Enforcement Division To Focus On Hedge Funds That Outperform The Market
In response to the Madoff scandal, the Division of Enforcement for the U.S. Securities and Exchange Commission is focusing on hedge funds that outperform market indexes by 3% on a steady basis.
United States
31 Mar 2011
6
SEC Extends Comment Period On Proposed Resource Extraction Issuer Rules To March 2011
The U.S. Securities and Exchange Commission (SEC) has recently extended the deadline for comments regarding Section 1504 of the Dodd-Frank Wall Street Reform and Consumer Protection Act until March 2, 2011.
United States
10 Feb 2011
7
Non-Prosecution Agreement Suggests SEC May Take New Approach to Corporate Cooperators
The U.S. Securities and Exchange Commission’s decision to enter into a first-time non-prosecution agreement with a public company could portend a new trend toward rewarding cooperating companies with meaningful benefits.
United States
31 Dec 2010
8
SEC Announces Proposed Rules on Dodd-Frank Whistleblower Program
Rules recently proposed by the U.S. Securities and Exchange Commission define the scope and procedures of the whistleblower provisions under the Dodd-Frank Wall Street Reform and Consumer Protection Act.
United States
15 Nov 2010
9
SEC Adopts Controversial Proxy Access Rules
After the enactment of the Dodd-Frank financial reform bill confirmed its authority to do so, the SEC moved quickly and has adopted proxy access rules—though the debate on this issue is far from over.
United States
2 Sep 2010
10
The SEC Gets Busy Early in Implementing Dodd-Frank Rulemaking Process
The U.S. Securities and Exchange Commission (SEC) will be affected more than any other federal agency or regulator by the Dodd-Frank Act.
United States
11 Aug 2010
11
Dodd-Frank Act Imposes New Disclosure Requirements on Energy and Mining Companies
The new disclosure requirements pose another regulatory compliance function that energy and mining companies will need to undertake in order to ensure their future compliance with the federal securities laws.
United States
28 Jul 2010
12
SEC Enforcement Given New Tools Under Dodd-Frank Bill
The full impact of the Dodd-Frank bill will not be known until the extensive rulemaking process is completed.
United States
23 Jul 2010
13
Whistleblower Provisions Make Noise in New Financial Reform Bill
The new financial reform bill contains whistleblower provisions that could change how corporations identify potential wrongdoing, interact with their employees and decide whether to report potential violations to the government.
United States
23 Jul 2010
14
Financial Reform Bill Could Require Companies to Recover "Excess" Incentive-Based Compensation from Executive Officers in Connection with a Restatement
Section 954 appears to be aimed at protecting shareholders, however, if enacted, it may actually harm shareholders in several ways, including by forcing them to bear the costs of unnecessary, excessive and potentially unsuccessful litigation.
United States
27 May 2010
15
Hedge Fund Industry Will Be Under Close Scrutiny by SEC Division of Enforcement
If Congress enacts legislation regulating the hedge fund industry, the SEC’s activity will intensify.
United States
26 Apr 2010
16
SEC Enforcement to Focus on Municipal Securities Industry
Recent actions by the SEC, in conjunction with the newly established municipal securities specialty unit, indicate a ramped-up enforcement effort with respect to pay-to-play issues.
United States
20 Apr 2010
17
SEC's New Individual Cooperation Program Could Have Significant Ramifications for Companies
In light of this new program, companies need to establish a culture and procedures that encourage employees to report internally potential wrongdoing.
United States
31 Mar 2010
18
DOJ and SEC Will Significantly Increase FCPA Enforcement Efforts
Recent actions by both the DOJ and SEC show that, in the future, FCPA enforcement will be an even higher priority.
United States
29 Mar 2010
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