Legal Developments in Securities Law

January 26, 2016

How Can I Claim an SEC Whistleblower Award: Dodd-Frank’s Whistleblower Incentives Under the Sarbanes-Oxley Act of 2002 (SOX), the whistleblower provision prohibited publicly traded corporations from taking any adverse employment action against an employee that internally reported or externally disclosed conduct reasonably believed to be a violation of any rule or regulation of the Securities … Continue reading “Legal Developments in Securities Law”

Legal Developments in Securities Law

January 26, 2016

Too Good to be True?: Investment Schemes to Watch Out For Recently, the North American Securities Administrators Association (“NASAA”) released a list of the “Top 10 Financial Products and Practices” that investors should watch out for. See the NASAA’s article here. The article lists the following products and practices: PRODUCTS: distressed real estate schemes, energy … Continue reading “Legal Developments in Securities Law”

Legal Developments in Securities Law

January 26, 2016

The SEC & “Small and Emerging Companies”: Could the Rules Governing Private Capital Change? This week, the SEC announced the formation of an Advisory Committee on Small and Emerging Companies (“Committee”) “to focus on interests and priorities of small businesses and smaller public companies.” You can find the SEC’s announcement here. Of great importance to … Continue reading “Legal Developments in Securities Law”

Legal Developments in Securities Law

January 26, 2016

The Foreign Corrupt Trade Practices Act: Why It Matters to Your Company Recently, Deloitte LLP conducted a survey which demonstrated that United States companies are having a difficult time detecting or preventing corruption prohibited by the Foreign Corrupt Trade Practices Act (“FCPA”). You can read more about Deloitte’s survey here. Of course, Deloitte’s survey is … Continue reading “Legal Developments in Securities Law”

Legal Developments in Securities Law

January 26, 2016

FINRA Settles with the SEC: Accused of Doctoring Documents Today, FINRA settled civil charges by the SEC which stemmed from accusations that FINRA had doctored certain documents requested by the SEC. The Wall Street Journal reported: According to the SEC, the director of Finra’s regional office in Kansas City altered in August 2008 the minutes … Continue reading “Legal Developments in Securities Law”

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