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1
Supreme Court Invalidates SEC Expansion Of Who Can Be A Whistleblower Under Dodd-Frank Act
On Wednesday February 21, 2018, the United States Supreme Court rejected a Securities Exchange Commission regulation that sought to expand the definition of a whistleblower under the Dodd-Frank Act, and thereby resolved a split in the Circuit Courts.
United States
28 Feb 2018
2
How The FAST Act Will Impact Securities Laws
On December 4, 2015, the Fixing America's Surface Transportation Act (the FAST Act) was signed into law.
United States
18 Jan 2016
3
SEC Provides Guidance On Exclusion Of Shareholder Proposals Under The "Ordinary Business" And "Direct Conflict" Exclusions Of Rule 14a-8
Past guidance from the staff on this issue states that a proposal will generally not be excludable as long as there is a sufficient nexus between the nature of the proposal and the company.
United States
27 Nov 2015
4
D.C. Circuit Court Re-Affirms Decision That Portions Of SEC's Conflict Minerals Rules Are Unconstitutional
On August 18, 2015, the United States Court of Appeals for the D.C. Circuit, in likely the first majority opinion citing Charles Dickens (A Tale of Two Cities) and George Orwell (Nineteen Eighty-Four), re-affirmed its previous ruling striking down the SEC rule mandating that public companies specifically declare their products to be "not DRC conflict free" in their SEC filings and on their websites as a violation of the First Amendment. National Association of Manufacturers, et al., v. Securitie
United States
7 Sep 2015
5
SEC Radically Revamps Regulation A - Part 3
For many years, SEC Regulation A languished as an exemption from registration that nobody really used.
United States
27 May 2015
6
SEC Radically Revamps Regulation A - Part 2
An offering statement is qualified under Regulation A only when it is declared qualified by the Commission or by the Division of Corporate Finance.
United States
26 May 2015
7
SEC Radically Revamps Regulation A - Part 1
For many years, SEC Regulation A languished as an exemption from registration that nobody really used.
United States
20 May 2015
8
SEC Charges KBR, Inc. With Using A Confidentiality Agreement That Could "Chill" Whistleblowing
About six months ago, the Director of the Office of the Whistleblower warned that the SEC was "going to bring a case where somebody has asked an employee or forced an employee to sign a document that in order of substance means they canít report to us."
United States
15 Apr 2015
9
SEC Proposes Rules For Hedging Disclosure
The SECís proposed addition of Item 407(i) to Regulation S-K was mandated by the Dodd-Frank Act.
United States
20 Feb 2015
10
SEC Proposes New Exchange Act Registration Thresholds And Changes To Certain "Held Of Record" Definitions
On December 18, 2014, the Securities and Exchange Commission proposed new rules regarding the thresholds at which issuers may become reporting companies under Section 12(g) of the Securities Exchange Act of 1934...
United States
16 Jan 2015
11
Second Circuit Issues Landmark Decision Limiting Insider Trading Liability Of "Remote Tippees"
On December 10, 2014, the Second Circuit Court of Appeals in New York reversed a set of insider trading convictions and reined in government prosecutions of insider traders who are outside the company in which stock is traded and receive their information second or third hand. U.S. v. Newman and Chiasson (13-1837).
United States
2 Jan 2015
12
SEC Continues Its "Strict Liability" Enforcement Campaigns, Focusing On Filing Failures And Rule 105 Violations
This past week, the SEC launched another enforcement campaign, which reflects the "broken windows" approach to investor protection.
United States
25 Sep 2014
13
Supreme Court Revises Rules For Private Securities Class Actions
The U.S. Supreme Court revised the ground rules for private securities class actions under Section 10(b) of the Securities Exchange Act of 1934.
United States
4 Jul 2014
14
Federal Appeals Court Largely Upholds Conflict Minerals Rules
The D.C. Circuit issued its much anticipated decision regarding the challenge to the Securities and Exchange Commissionís Conflict Minerals Rules.
United States
29 Apr 2014
15
SEC No-Action Letter Allows Certain Kinds Of "M&A Brokers" To Avoid Broker-Dealer Registration Under The Exchange Act
The SEC issued a significant no-action letter permitting the involvement of M&A brokers in business acquisition transactions involving privately-held companies.
United States
5 Mar 2014
16
SEC Releases Proposed Rule Amendments To Regulation A
On December 18, 2013, the Securities and Exchange Commission released its proposed rule amendments to Regulation A, which were required by Section 401 of the JOBS Act.
United States
3 Mar 2014
17
SECís Conflict Minerals Rule Challenged
On October 19, 2012, the National Association of Manufacturers and the U.S. Chamber of Commerce petitioned the D.C. Circuit Court of Appeals to request that the SECís scheme of disclosure "be modified or set aside, in whole or in part".
United States
30 Oct 2012
18
U.S. Chamber Of Commerce Sues SEC To Overturn Controversial Dodd-Frank Resource Extraction Rule
Under the new Rule, issuers must disclose all payments (or aggregation of related payments) of $100,000 or more to foreign (and U.S.) governments for such activities.
United States
22 Oct 2012
19
NYSE And NASDAQ Propose Listing Standards For Compensation Committees And Compensation Advisers
The New York Stock Exchange and the NASDAQ Stock Market proposed rule changes to their respective listing standards affecting public company boards of directors.
United States
15 Oct 2012
20
SEC Proposes JOBS Act Amendments To Rule 506 And Rule 144A To Remove Ban On General Solicitation
On August 29, 2012, the Securities and Exchange Commission released proposed amendments to Rules 506 and 144A in order to remove the prohibition on general solicitation and general advertising in Rule 506 and 144A offerings, as directed by the recently enacted JOBS Act.
United States
12 Sep 2012
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