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
By way of background, pursuant to Section 5 of the Securities Act of 1933 (Securities Act) and state securities laws, any offer and sale of a security must be registered with the Securities and Exchange Commission (SEC) and...more
A periodic bulletin keeping small businesses informed about current developments in securities law and related matters.
Final Nasdaq Rule -
In our October 2012 Bulletin, we discussed The NASDAQ Stock Exchange LLC’s...more
2/22/2013
/ Certificates of Compliance ,
Compensation Committee ,
Compensation Consultant ,
Compliance ,
Conflicts of Interest ,
Directors ,
Dodd-Frank ,
Executive Compensation ,
Independence Rules ,
Listing Standards ,
Nasdaq ,
Securities and Exchange Commission (SEC)