In a January 2010 memorandum titled “Acquisition Financing in 2010 - Trends from 2009”, we considered the state of acquisition finance in 2009 and drew some tentative conclusions abou...
Although the past year has not seen a wholesale revision in the rules applicable to Form 10-Ks and proxy statements, there have been a handful of rule changes and the SEC staff has issued...
The SEC has proposed rules that would implement the requirements of Section 1503 of the Dodd-Frank Wall Street Reform and Consumer Act. This Section is already in effect and calls for ope...
The SEC has proposed rules that implement Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Act which requires companies that file Exchange Act reports, whether U.S. companie...
Yesterday the SEC announced and issued proposed rules that would implement the whistleblower provisions of the Dodd-Frank Act. The rules attempt to advance the Act’s goal of encouragin...
The SEC today announced settled Reg FD charges against Office Depot and its CEO and former CFO related to “signals” that Office Depot made in one-on-one conversations with analysts im...
You may recall that last year a federal district court in Texas dismissed the SEC’s insider trading case against Mark Cuban, on the theory that a simple confidentiality agreement withou...
On September 18, 2010, the SEC proposed amendments which would require both financial and nonfinancial companies to disclose additional information in registration statements and periodic...
Last year, New York State enacted significant amendments to Title 15 of Article 5 of the New York General Obligations Law governing powers of attorney executed by individuals in New York ...
