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PIPE Transaction Not Exempt, Funds Were Beneficial Owners

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2/2/12 SEC Sends Reminder to Industry About Confidentiality of Suspicious Activity Reports
2/2/12 SEC Staff Allows Omission of Shareholder Proposals on Audit Firm Rotation as Ordinary Business
12/19/11 Corporation Finance Deputy Director Discusses Areas That Draw SEC Comments
12/19/11 Doty Seeks Answers to Auditor/Client Conflict and Lack of Skepticism
12/19/11 Corporation Finance Staff Reviews Recent Developments at AICPA Conference
11/23/11 SEC Hosts 30th Annual Forum on Small Business Capital Formation
11/23/11 9th Circuit Holds Materiality Is a Merits Issue
11/14/11 Sarbanes-Oxley Whistleblower Provision Not Limited to Allegations of Fraud Against Shareholders
10/25/11 SEC and Banking Agencies Propose Regulations Implementing Volcker Rule; Exceptions to Hedge Fund Ban Detailed
9/16/11 SEC Will Not Ask for DC Circuit Rehearing of Proxy Access Ruling or Appeal it to Supreme Court
9/16/11 Bank Must Discuss Whether Foreign Currency Trading is Proprietary Trading under Volcker Rule
9/16/11 SEC Approves PCAOB’s Interim Inspection Program for Audits of Broker-Dealers
8/16/11 SEC Launches Office of the Whistleblower Web Site
8/16/11 Zillow Extends IPO Market’s Strong Year
8/16/11 Officer's "Half-Truth" Created Materially Misleading Impression
7/27/11 DC Circuit Vacates SEC’s Proxy Access Rule
7/19/11 PCAOB Chair Calls for International Cooperation on Audit Inspections
6/27/11 SEC Adopts Rules Requiring Private Fund Advisers to Register and Creates New Exemptions for Certain Advisers
6/27/11 European Commission Concerned About Reach of Foreign Account Tax Compliance Act
6/27/11 SEC Proposes Amendments to Strengthen Broker-Dealer Reporting
6/27/11 High Court Rules Fund Adviser Not Liable for Fund Prospectus
6/6/11 SEC Adopts Whistleblower Program Rules, Proposes Reg. D “Bad Actor” Disqualification
6/6/11 SEC Officials Discuss General Solicitation Ban and 500-Shareholder Limit at Hearing on Capital Formation
6/6/11 Hanson Talks About PCAOB Actions That May Affect Compliance Officers
4/24/11 House Oversight Chairs Introduce Legislation to Extend Deadline for SEC-CFTC Implementation of Dodd-Frank
4/24/11 Vesting of Options Not a “Purchase” Under Section 16(b)
4/24/11 Senators Urge SEC to Prohibit Executive Hedging as Part of Dodd-Frank Incentive Compensation Regulations
4/24/11 Pharmaceutical Company Asked to Disclose Drug Co-Pay Subsidies and Patient Assistance Programs
3/15/11 Arbitration Ban for Whistleblower Cases Applies Retroactively
3/15/11 Corporate Secretaries Society Says Proxy Advisory Firms are ERISA Fiduciaries
3/15/11 SEC Directors Testify Before House Subcommittee on Budget Concerns and Dodd-Frank Implementation
2/1/11 SEC Staff Study Recommends Enhancing Investor Access to Data on Brokers and Advisers
2/1/11 Enforcement Action Alleges that Senior Officers Misled Outside Auditors in Revenue Recognition Scheme
1/16/11 SEC Delegates PCAOB Rule Authority to Chief Accountant
1/16/11 Affiliated Ute Not Applicable to Complaint Based on Misrepresentations
1/16/11 AICPA Conference Panelists Address SEC Staff Reviews and MD&A
1/16/11 Staff Says Disney Must Include Proposal on Re-Testing of Executive Award Eligibility
12/13/10 7th Circuit Panel Reverses Stay of Request to Inspect Public Documents
12/13/10 SEC’s Deputy Chief Accountants Discuss Recent Developments at AICPA Conference
12/13/10 News Organization Must Discuss Impact of Compensation Plans
11/29/10 Panelists Weigh Potential Impact of Dodd-Frank Provisions
11/29/10 SEC Provides Guidance for Closed-End Funds Under Section 18(i)
11/29/10 PLI Conference Panelists Discuss Auditing and Accounting Developments
11/9/10 SEC Extends Compliance Date With Reg. SHO Rules 201 and 200(g)
11/9/10 SEC Seeks Comment on Study of Extraterritorial Reach of Federal Securities Laws
11/9/10 SEC Proposes Rules on Proxy Voting, Executive Compensation and Golden Parachutes
10/12/10 SEC Removes Credit Rating Agency Exemption From Regulation FD
10/12/10 Cross Outlines Executive Compensation Rulemaking Calendar in House Testimony
9/30/10 Commission Issues Guidance on Presentation of Liquidity and Capital Resources Disclosures in MD&A
9/30/10 PCAOB Hosts Roundtable on Communications with Audit Committees
9/10/10 Staff Updates Responses to Questions About the Custody Rule
9/10/10 Corporate Secretaries Society Has Concerns with Proposed PCAOB Auditor-Audit Committee Communications Standard
9/10/10 SEC Adopts Shareholder Proxy Access Rules
8/25/10 Three Senators Provide Recommendations to Enhance Target Date Fund Disclosure
8/25/10 Division Updates Compliance and Disclosure Interpretations
8/12/10 Federal Appeals Court Vacates SEC Rule on Fixed Index Annuities
8/12/10 Schapiro Asks for Industry's Help in Implementing Dodd-Frank Provisions
8/12/10 Dodd-Frank Act Requires New Natural Resources and Mineral Disclosures
7/26/10 Staff Issues Guidance on Use of Credit Ratings in Asset-Backed Securities Market
7/26/10 President Signs Financial Reform Legislation Requiring Registration of Hedge Fund and Private Fund Advisers
7/11/10 Kanjorski Says Act Rebuts Court Decision on Extraterritoriality of Federal Securities Laws
7/11/10 Supreme Court Narrows Scope of Honest Services Fraud Statute
7/11/10 PCAOB’s Dual Insulation From President’s Authority Violates Constitutional Separation of Powers
6/16/10 DOJ Official Discusses Federal Enforcement and Corporate Compliance
6/16/10 Commission Grants Accelerated Approval For Circuit Breaker Rules
6/16/10 Company Must Discuss Off-Balance Sheet Securitizations
5/17/10 SEC Encourages Use of Email for Rule 10A-1 Notices
5/17/10 Schapiro Testifies Before House Subcommittee About May 6 Market Events
5/17/10 Financial Crisis and Transparency Discussed at First Meeting of PCAOB’s Investor Advisory Group

SEC, CFTC Form Joint Advisory Committee

4/30/10 Unanimous Supreme Court Allows Vioxx Suit to Proceed
4/16/10 SEC Proposes Significant Revisions to Asset-Backed Securities Offerings
4/6/10 Insurance Company Must Explain Changes in Estimates for Liability for Policy and Contract Claims
4/6/10 Senate Bill Would Provide Tax Relief to Victims of Ponzi Schemes
4/6/10 PCAOB Proposes New Standard on Communications With Audit Committees
3/23/10 Adoption of Poison Pill to Protect Net Operating Loss Carryforwards Protected by Business Judgment Rule
3/23/10 Khuzami Reflects on Past Year as Enforcement Director
3/19/10 En Banc 1st Circuit Rejects SEC Definition of “Making” a Statement
3/19/10 Aguilar Discusses Potential Money Market Fund Reform Measures
3/4/10 Claim Alleging Filing of False 13Ds in Creeping Takeover Goes Forward in Delaware Court
3/4/10 SEC Discusses Scope of PSLRA Safe Harbor for Forward-Looking Statements
2/26/10 SEC Adopts Alternative Uptick Rule for Short Sales
2/26/10 Amendments to Proxy Rules Offer E-Proxy Flexibility
2/26/10 State Claims Against Hedge Funds Survive SLUSA Challenge
2/10/10 Schapiro Highlights Past Year’s and Upcoming Initiatives at PLI Conference
2/10/10 Industry Groups Ask Supreme Court to Overturn Ruling That IRS Can Obtain Tax Work Papers Done for Financial Statements
1/14/10 SEC Proposes to Tighten Market Access Rules
1/14/10 Staff Reverses Position on Livestock Antibiotics Proposals
1/14/10 PCAOB Reproposes Standards on Assessing Risk for Additional Comment
1/03/10 Initial CDS Insider Trading Case Survives Challenge
1/03/10 SEC Proposes Amendments to Offering Communication Rule
1/03/10 Supreme Court Oral Argument in PCAOB Case Centers on SEC Control and Presidential Removal Powers

Securities News Archive


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