Topic: SEC

JD Supra Corporate Brief: Email Policies, Whistleblower Bounties, Counterfeit Goods, Office Supplies

Just over 100 years ago today, the first air freight shipment was completely by the Wright brothers on behalf of department store owner Max Moorehouse. We can’t help but wonder – did it absolutely, positively have to be there overnight? Will email policies be the next battleground for the NLRB? (Tim Long, Lisa Lupion, and… Read more »

JD Supra Corporate Brief: Iran Notices, Health FSAs, Corporate Boards, FATCA Implementation

Voters across the country agree: the JD Supra Corporate Brief is a great way to start the day! Are the days when Chief Compliance Officers are held accountable a thing of the past? (Bettina Eckerle of Eckerle Law) Over the past eight months, companies have filed more than 400 Iran notices with the SEC… (Shearman… Read more »

JD Supra Corporate Brief: Goldman Trade Secrets, Cross-Border Telecommuting, Brazil Anti-Corruption, Worker Misclassification Lawsuits

On this day in 1895, George B. Selden was granted the first US patent for an automobile. Today’s global economy forecast: bumpy road ahead – but things should start to smooth out in 2014… (Richard Dion, David Dodge, and John Weekes at Bennett Jones) Score one for the underdog? (Kenneth Vanko at Clingen Callow &… Read more »

JD Supra Corporate Brief: SEC Report, Lying Liars, Contractor Cybersecurity, Re-Shoring Operations

Oversleep? Spill coffee on your new suit? Leave the afternoon keynote in your other laptop? Relax, take a deep breath, and read the JD Supra Corporate Brief… Think the SEC’s Office of Financial Research’s missed the mark on “Asset Management and Financial Stability”? You’re not alone… (Thomas Vartanian at Dechert) Goldman Sachs will be required… Read more »

JD Supra Corporate Brief: Cyber Attacks, Business Crime, Patent Trolls, India Investments

Taxation without representation: on November 1, 1765, the British Parliament enacts the Stamp Tax on the colonies to help pay the costs of keeping British soldiers in North America. Are millennials as hard to manage as conventional wisdom may claim? (John Baum at Hirschfeld Kraemer) The SEC plans to be more “aggressive and creative” in… Read more »

JD Supra Corporate Brief: Cuban Wins, Rabobank Pays, FDIC Warns, Australia Repeals

This day in legal history: on October 31, 2002, a federal grand jury indicts former Enron CFO Andrew Fastow on 78 counts of wire fraud, money laundering, conspiracy, and obstruction of justice related to the company’s collapse. Scary! Fake Graveyards, Insulting Tombstones, & A Lawsuit Over Free Speech Violations… (Is That Legal?) It took the… Read more »

JD Supra Corporate Brief: European Cookies, Gene Patents, Reasonable Customers, Liquidity Requirements

Why wait for the holidays? Give yourself a gift today: an email subscription to the JD Supra Corporate Brief. It’s informative, entertaining, and – best of all – comes in your size… Those Europeans sure are particular about their cookies, aren’t they? (Cedric Burton, Christopher Kuner, and Anna Pateraki at Wilson Sonsini) The EEOC just… Read more »

JD Supra Corporate Brief: Crowdfunding Portals, FCPA Charges, President Obama, TCPA Filings

150 years ago today, the International Red Cross was formed in Geneva. Happy birthday! Running a crowdfunding portal isn’t for the faint of heart… (Brian Korn at Pepper Hamilton) Diebold just agreed to pay the SEC and the DOJ $48 million to settle criminal charges of violating the FCPA… (Max Chester, Pamela Johnston, and David… Read more »

JD Supra Corporate Brief: Revised Cybersecurity Framework, EU Data Protection, Conflict of Interest Lawsuits, HealthCare.gov Rollout

On October 28, 1919, the US Congress overrides President Woodrow Wilson’s veto of the Volstead Act, paving the way for Prohibition. Ten years later: Black Monday, when the Dow loses 13% in the Wall Street Crash of 1929. Coincidence? Feds continue to refine the country’s cybersecurity framework (Skadden Arps) How can a corporation engage in… Read more »

JD Supra Corporate Brief: Crowdfunding Rules, Data Protection, Sleep Studies, Foreign Whistleblowers

It’s Friday, and that means a hearty helping of law news around the JD Supra breakfast table. Dig in! How to run an IPO while pursuing a private confidential auction of your company? Start with this video… (Cathy Birkeland at Latham & Watkins) The new SEC crowdfunding proposal: one small step for regulators, one giant… Read more »

New SEC Crowdfunding Proposal: One Small Step for Regulators, One Giant Step for Startups?

“Under the JOBS Act, the SEC was to propose equity crowdfunding rules by Dec. 31, 2012.” (Brian Korn of Pepper Hamilton) Did the Securities and Exchange Commission just break the crowdfunding logjam? On October 23, SEC commissioners unanimously agreed to propose a framework that will allow entrepreneurs and startups to raise capital via social media… Read more »

JD Supra Corporate Brief: FATCA Regime, Securities Dealers, EU Data, Vicarious Liability

Keep your eye on the markets today: both 1929’s Black Thursday and 2008’s Bloody Friday happened on October 24. You’ve got just enough time to read the JD Supra Corporate Brief before the opening bell … The FATCA tax regime will introduce US tax withholding risk into financial transactions that have almost no nexus to… Read more »

You Could Learn A Lot about SEC Enforcement Listening to Mary Jo White…

Securities and Exchange Commission Chair Mary Jo White is certainly keeping busy. In recent weeks she’s spoken to the Council of Institutional Investors, the National Association of Corporate Directors, and the Securities Enforcement Forum, among others. From lawyers writing on JD Supra, here’s what she had to say: The SEC wants more guilty pleas: “In… Read more »

JD Supra Corporate Brief: Social Media Disclosure, Federal Shutdown Costs, Shanghai Free-Trade Zone, Ireland Whistleblower Protections

Sign up for email delivery of the JD Supra Corporate Brief, and you’ll never go looking for law news again… Facebook, Twitter, YouTube, and LinkedIn provide a 24/7 outlet for corporate disclosure… (Akin Gump) Contractors may be entitled to recover costs arising from the federal shutdown, but they’ve got to act quickly… (Morrison & Foerster)… Read more »

5 Risks Every Private Equity Firm Needs to Manage

“[R]egulators and prosecutors are increasingly focusing on private equity firms.” (Jeffrey Legault, Mark Pedretti, and Pablo Quiñones at Reed Smith) Managing risk is nothing new in the private equity world. But federal and state regulators – and unhappy stakeholders in acquired companies – are upping the ante. From lawyers writing on JD Supra, here’s a… Read more »