Search for: "Hamilton E James"
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5 Dec, 2006 1:51 am
... (SD Tex) has assessed fees and costs under Section 11(e) of the Securities Act against the plaintiff's law firm. The case involved an Enron
outside ... his role as an independent director. An award of fees and costs under Section 11(e) is conditioned on a finding that the action was
without merit, that it was frivolous or brought in bad faith. Newby v ... The court also reasoned that an award of fees and costs under Section 11(e) should be borne by counsel because non-attorney clients more likely than ...
6 Dec, 2006 12:52 pm
Court Enron 11(e) Ruling Also Aids Good Governance The federal court ruling (SD Tex) awarding fees and costs under Section 11(e) of the Securities Act against the plaintiff's law firm is also a very important opinion for corporate governance. In fact, Judge Harmon's opinion may
ultimately be best remembered for what it did to promote sound corporate governance. The court found that the fact that a financial services company employed an individual who was also
an Enron outside director was not ...
4 Jan, 2007 9:31 am
New House Oversight Chair Pledges Legislation on Executive Compensation Calling the relationship between corporate boards and CEOs collusive with regard to executive compensation, House
Financial Services Committee chair Barney Frank said that shareholders must be the real check on excessive compensation. He promised legislation to increase the ability of shareholders
to vote on compensation packages. Staff is currently working out the details of the legislation, which includes what will happen ...
16 May 5:00 am
... 0 0 166,801 Daniel J. Evans 44,000 221,895 0 0 265,895 William H. Gates, Sr. 36,000 221,895 0 0 257,895 Hamilton E. James 38,000 222,939 0 0 260,939 Richard M. Libenson 34,000 222,939 0 0 256,939 John W. Meisenbach 33,000 222,939
... serves on the boards of Berkshire Hathaway Inc., Daily Journal Corporation, and Wesco Financial Corporation. CEO Compensation. James D.
Sinegal, a co-founder who serves as CEO and President, received $4,906,696 in total compensation for 2008 ...
1 Jan 11:12 am
... Change in Antebellum Property Law: Stare Decisis in Judicial Rhetoric Lewis A. Grossman, ''The Benefits and Evils of Competition'': James
Coolidge Carter's Supreme Court Advocacy Gregory Mark, On Limited Liability: A Speculative Essay on Evolution ... Properties Oren Bracha, Geniuses and Owners: The Construction of
Inventors and the Emergence of American Intellectual Property Daniel W. Hamilton, Morton Horwitz and the Teaching of American Legal History I
hope that you'll encourage your library to buy ...
28 Feb, 2008 5:16 am
... was opposed by a number of heavyweight commenters, including former FASB member and current IASB member James Leisenring, who said that it
was most inopportune to propose a reduction when pressures have increased on Board members to much more extensively deal ... ; Young did not support the proposal to reduce the size of
FASB. While acknowledging the need for enhancing the efficiency of FASB, E&Y said that reducing the Board could sacrifice the quality of
new standards for speed of issuance. E& ...
16 Oct, 2006 5:05 am
Corporate Strategy and Corporate Corruption Guest Blogger: Prof. Troy A. Paredes I'd like to thank Jim Hamilton for allowing me to be a guest
blogger. Jim's blog is wonderful, and I appreciate the opportunity to contribute to it. Let me ... "friendly" directors who might be willing and able to dissent without the CEO taking
it personally or feeling threatened (see, e.g., Adams & Ferreira, "A Theory of Friendly Boards" (forthcoming, Journal of Finance)). This
suggestion is in direct tension with ...
9 Jul, 2007 12:15 pm
... staff, through the inspection and enforcement process, has informally applied the rule to e-mail. Commenters have noted that this has
raised a host of difficult compliance issues ... and costly for firms. Some firms have complained that the SEC staff's e-mail requests go
beyond the scope of the records that the rules require them to keep. ... efficiencies and impeded customer service if firms elect to stop or curtail e-mail usage in order to avoid having the burden of complying with staff requests. He ...
1 Jul 12:15 pm
... a separate shareholder advisory vote to approve the compensation of executives. The Dodd Amendment is codified in Section 111(e) of the
Emergency Economic Stabilization Act (EESA). Under the proposal, this separate shareholder vote would be required ... to require companies to use any specific language or form of
resolution. However, as stated in Section 111(e), the vote must be to approve the compensation of executives, as disclosed pursuant to the
compensation disclosure rules of the Commission, ...
6 Jun, 2007 11:47 am
... , in order to facilitate the adjustment from fixed commissions to the new era of competition, Congress enacted Section 28(e) of the
Exchange Act to allow investment advisers to pay higher than market rates for brokerage commissions as a ... paid is reasonable in relation to the value of the brokerage and research
services provided by the broker. Section 28(e) governs the conduct of all persons who exercise investment discretion with respect to an
account, including investment advisers, mutual fund ...
25 Sep 7:14 am
... would increase transparency about who is responsible for performing the audit, which could provide useful information to investors. E&Y
is of the view that the benefits of transparency that might be afforded by requiring the engagement partner to sign ... firm for ratification by the shareholders. Given the limited
nature of information that would be afforded by a signature requirement, E&Y believes that the public would be at risk of reaching unjust
and inappropriate conclusions regarding ...
10 Nov, 2008 12:42 pm
... to unilaterally amend the company's articles or certificate of incorporation. It also details a new e-mail address established for the
receipt of Rule 14a-8 no-action requests and ... 14a-8(i)(2), or Rule 14a-8(i)(6). Companies and shareholders may e-mail Rule 14a-8 no-action
requests and related correspondence to ... should not be used to submit other types of no-action requests or correspondence; and that the e-mail is not confidential. The staff also said that, if a proponent is listed in a company's ...
2 Apr 1:50 pm
... the FASB adopted guidance on whether a market is not active and a transaction is not distressed. New FAS 157-e affirmed that the objective
of fair value when the market for an asset is not active is the price that would be received to sell the asset in ... will also require an entity to disclose a change in valuation
technique, and the related inputs, resulting from the application of 157-e and to quantify its effects, if practicable. During the Q&A,
Floyd Norris of the New York Times wondered ...
5 Jul, 2007 11:57 am
... sign of abating, NASAA urged the Court to ensure that injured investors have the opportunity to seek relief in federal court. Several of the nation's foremost academic experts in
securities law, including Professors James D. Cox, Jill E. Fisch, and Donald C. Langevoort, explained
in their brief that, without scheme liability, market integrity will suffer and victims will too often be left without recourse. Unless investors can recover from ...
19 Jul, 2006 6:46 am
... scheme and called on Congress to abolish the practice. But in my view Congress will not repeal Section 28(e) of the Exchange Act.
Historically, Congress has shown little enthusiasm for one statute ``fixes'' of the federal securities ... statute. This means that traditional research reports and market data
satisfying the eligibility criteria of Section 28(e) are eligible for the safe harbor as research, but that computer hardware is not. The
release also indicates that mass-marketed publications are ...
14 Nov, 2006 4:54 am
... (15 U.S.C. Sections 78c(a)(4) and (5)) or a bank that satisfies the conditions described in subsection 3(a)(4)(E) of the Securities
Exchange Act of 1934 (15 U.S.C. Section 78c(a)(4)); an international banking institution; or ... an exclusion for variable annuities. Furthermore, the insurance industry has stalled
adoption of the entire Act in many other jurisdictions, e.g., Hawaii, because of the variable annuities provision. Whether the insurance
industry will try to repeal the Act of the one state ...
6 Jan 6:59 am
... , and any resulting recommendations made to the Division of Enforcement. The committee also wants to see all internal SEC and FINRA e-mails
referring to or in regards to Mr. Madoff and personnel of the firm, as well as all e-mails between SEC staff and personnel of the firm. The
committee also requests any complaint letters from market participants regarding the firm or its principal that the SEC received before December 11, 2008. The documents, which ...
19 Mar 1:48 pm
... positions intended to provide additional guidance regarding fair value measurements and impairments of securities. Proposed FAS 157-e will
help in determining whether a market is inactive and will make fair value measurements more consistent with the principles presented ... assist them in determining whether a market is
active or inactive, and whether a transaction is distressed. Proposed FAS 157-e would provide this application guidance. Proposed FAS 115-a,
FAS 124-a, and EITF 99-20-b on other- ...
15 May 1:01 am
... join in the increasing chorus to reform legal education." Or as Drinker chairman Alfred Putnam Jr. explained, "[H]e thought about deferring
the 34 associates who would be affected, but at the end of the day they would still be first-years, ... firms? This suggestion, which has been around for decades, was highlighted by
Joan Arnold, a partner at Philadelphia's Pepper Hamilton firm, who remarked that "there needs to be a seismic shift in the way attorneys are
trained before they even join a firm." ...
17 Aug, 2006 7:15 am
... adviser that registered as a result of the SEC's hedge fund adviser rules does not maintain the books and records required by rule 204-2(a)(16) as long as the adviser meets the
terms and conditions of vacated rule 204-2(e)(3)(ii). The SEC provided a grandfather provision when it adopted the hedge fund adviser rules to
allow for existing advisory agreements on performance-based compensation for advisers that had to register as a result of the rules. The staff will not recommend enforcement ...
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