Searching Content indexed under Charges, Mortgages, Indemnities by Fenwick & West LLP ordered by Published Date Descending.
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Playing With Fire: Loans To Exercise Options
There is a current debate as to whether we are in a period of high valuations, irrational exuberance or a down-right bubble.
United States
26 Jun 2014
SEC Guidance On JOBS Act Provisions
In the three weeks since President Obama signed into law the Jumpstart Our Business Startups Act (the "JOBS Act"), the SEC has issued five sets of guidance, primarily in the form of Frequently Asked Questions (FAQs).
United States
10 May 2012
FAQs re Dodd-Frank Whistleblower Rules
The 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank") added Section 21F to the Exchange Act, entitled "Securities Whistleblower Incentives and Protection."
United States
20 Jun 2011
Corporate and Securities Alert: "Say on Pay" Rules Proposed
The SEC has released a rule proposal ("Proposal") designed to implement provisions of the Dodd-Frank Act relating to shareholder approval of executive compensation and golden parachute compensation arrangements.
United States
31 Jan 2011
"Say on Pay" Rules Proposed
The SEC has released a rule proposal ("Proposal") designed to implement provisions of the Dodd-Frank Act relating to shareholder approval of executive compensation and golden parachute compensation arrangements.
United States
1 Nov 2010
Venture Capital Survey Silicon Valley Second Quarter 2010
We analyzed the terms of venture financings for 126 companies headquartered in Silicon Valley that reported raising money in the second quarter of 2010.
United States
11 Aug 2010
FCPA Update: Implementation of U.K. Bribery Bill Postponed Until April 2011
mplementation of the U.K. Bribery Bill (discussed in our update of April 6, 2010) has been postponed for nine months while the government evaluates comments to the Bill raised by various business constituencies.
United States
9 Aug 2010
The Dodd-Frank Act: Provisions Affecting Corporate Governance And Executive Compensation Disclosures For All Public Companies
On July 21, 2010, President Barack Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. This legislation is primarily focused on bank reform — regulation and resolution of financial companies that pose systemic risk, banking regulatory reform, regulation of derivatives, and consumer financial protection.
United States
23 Jul 2010
SEC v. Jenkins: SOX 304 Clawback Requires Innocent CEOs and CFOs to Return Incentive-Based Compensation if the Company Restates Its Financials Due to "Misconduct"
In a case of first impression, the United States District Court for the District of Arizona recently ruled that Section 304 of the Sarbanes-Oxley Act of 2002 ("SOX"), the so-called "Clawback Provision," does not require personal misconduct by a company’s CEO or CFO to trigger reimbursement obligations after an accounting restatement.
United States
21 Jun 2010
SEC Update—SEC Proposed Rules Would Make It Easier For Stockholders To Nominate Board Members; Compensation Disclosure Changes On The Way
The SEC announced that it will propose amendments to the proxy rules to facilitate the ability of stockholders to propose nominees for election to a board of directors.
United States
30 Jun 2009
Latest Restrictions On Compensation Of Executives At Financial Institutions Receiving Assistance Under The Troubled Asset Relief Program
The American Recovery and Reinvestment Act of 2009 ("ARRA") that became law on February 17, 2009, imposes new restrictions on compensation of certain executives at financial institutions.
United States
11 Mar 2009
Delaware Supreme Court Confirms Officers´ Fiduciary Duties And Refines The Application Of The Common Law Doctrine Of Shareholder Ratification
The Delaware Supreme Court's recent decision in Gantler vs. Stephens (Del. January 27, 2009) - where the Court issued a rare reversal of a Court of Chancery decision - contains several noteworthy holdings on core corporate governance principles, including entire fairness" review of a breach of fiduciary duty claim, the fiduciary duties of corporate officers, and the applicability of the common law doctrine of shareholder ratification to corporate transactions.
United States
10 Mar 2009
Ninth Circuit Affirms District Court´s Dismissal Of Securities Class Action
On November 26, 2008, the US Court of Appeals for the Ninth Circuit affirmed the dismissal of a securities fraud lawsuit brought by Glazer Capital Management against InVision Technologies, Inc. and two of its executive officers.
United States
15 Dec 2008
FINRA Announces Changes To Analyst Rules
The Financial Industry Regulatory Authority, or FINRA, as part of its process of enacting a consolidated rulebook, announced proposed changes to its existing conflicts of interest rules regarding research analysts.
United States
4 Dec 2008
Auction Rate Securities—Recent Settlements With SEC And Other Regulators
On August 7 and 8, the Securities and Exchange Commission announced settlements with Citigroup Global Markets and UBS Securities and UBS Financial Services Inc.
United States
12 Aug 2008
Securities And Exchange Commission Adopts Amendments To Rules 144 And 145
For the first time since 1997, the SEC has made significant amendments to Rules 144 and 145 under the Securities Act of 1933 (the "Securities Act").
United States
1 Feb 2008
The Foreign Corrupt Practices Act: The Next Corporate Scandal?
As the stock option backdating cases wind down, what will be the next corporate scandal to gain widespread notoriety?
United States
29 Jan 2008
2008 Update To Doing Business In China Via The Cayman Islands
Many companies doing business in China are using a structure which includes a company formed under the laws of the Cayman Islands (“CI”).
29 Jan 2008
New HSR Thresholds For 2008
The dollar thresholds for pre-acquisition filings under the Hart-Scott-Rodino Act will increase at the end of February (exact date still pending), due to an annual adjustment mechanism that was created in the last round of amendments to the HSR Act.
United States
21 Jan 2008
Corporate Securities Alert–eProxy Rules Are Now Effective For Large Accelerated Filers
The Securities and Exchange Commission adopted an amendment to its proxy statement rules in July 2007 regarding electronic availability of proxy materials.
United States
18 Jan 2008
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