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Searching Content indexed under Corporate/Commercial Law by Fredric Firestone ordered by Published Date Descending.
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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
2
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
3
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
4
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
5
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
6
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
7
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
8
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
9
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
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