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Publisher: WSJ Author: Andrew Ackerman The top US Securities regulator says it is reviewing a federal appeals court ruling that overturned two criminal insider-trading convictions and effectively made prosecuting the crime more difficult. There’s no question it’s a significant decision,”…
Publisher: Reuters Authors: Sarah Lynch and John McCrank The US SEC© plans to launch a sweeping set of reforms designed to ensure that large asset managers are properly dealing with risks and have plans to wind down in the event…
Publisher: Financial Advisor Author: Ted Knutson Republican SEC© commissioner Michael Piwowar made wide ranging attacks on the agency’s enforcement priorities, specifically in regards to SEC© Chairman Mary Jo White’s “Broken Windows” enforcement policy. SEC© Chairman Mary Jo White has outlined…
Publisher: ComplianceWeek Author: Bruce Carton Last week, the SEC© issued a press release summarizing its enforcement results for the agency’s fiscal year 2014, which ended September 30th of this year. The SEC© emphasized it filed a record 755 enforcement actions…
Publisher: Cooley LLP Author: Cydney Posner Coca-Colas decision to scale back the use of its equity compensation plan and adopt “equity stewardship guidelines” has certainly received a lot of press – for an equity plan, that is. Generally, under the…
Publisher: Securities & Corporate Governance Group Author: Doug Harmon The first wave of Form SD filings has come and gone, leaving us with more insight into supply chains and manufacturing processes than most of us ever wanted, yet much uncertainty…
SEC© Press Release 9/10/2014 SEC© Announces Fraud Charges against Biotech Company and Former Executive who failed to report Insider Stock Sales. Today, the SEC© announced charges against 28 officers, directors, or major shareholders for violating federal securities laws that require…
Publisher: Akin Gump Authors: Alice Hsu & Jeremy Smith In the early weeks of July, The SEC© Division of Corporation Finance issued several new interpretations relating to the verification of “accredited investor” status for securities offerings pursuant to Rule 506c.…
Starting Tuesday, July 1st, 2014, the Dodd Frank required Municipal Advisor Form (Form MA) must be electronically filed using the SEC’s EDGARLink Online form filing site. All municipal advisor forms must be Live filed. The SEC© system does not permit…
Publisher: Lexology Authors: Dynda A. Thomas The Division of Corporation Finance has confirmed that there is a glitch in the EDGAR© filing system. EDGAR© is not accepting Exhibit 1.01 to the Form SD but is accepting Exhibit 1.02. Therefore, despite the Instructions…