The Securities and Exchange Commission (SEC) has adopted amendments to its rules and forms to amend the definition of "smaller reporting company." Companies that qualify as smaller reporting companies can take advantage of...more
As we discussed in our June 2011 Bulletin, available here, SEC rules promulgated under the Securities Exchange Act of 1934, as amended (Exchange Act), pursuant to Section 21F thereunder as enacted by the Dodd-Frank Wall...more
10/3/2016
/ Anti-Retaliation Provisions ,
Disclosure Requirements ,
Dodd-Frank ,
Enforcement Actions ,
Fines ,
KBR (formerly Kellogg Brown & Root) ,
Merrill Lynch ,
Rule 21F ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Severance Agreements ,
Whistleblowers
A periodic bulletin keeping small businesses informed about current developments in securities law and related matters.
By way of background, pursuant to Section 5 of the Securities Act of 1933 (Securities Act) and state...more
A periodic bulletin keeping small businesses informed about current developments in securities law and related matters.
As required by the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Securities and...more
A periodic bulletin keeping small businesses informed about current developments in securities law and related matters.
For the first time, smaller reporting companies are subject, in 2013, to the stockholder advisory...more