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17 Oct 2022, 6:30 am
Related research from the Program on Corporate Governance includes Insider Trading Via the Corporation (discussed on the Forum here) by Jesse M. [read post]
23 May 2013, 4:23 am by Broc Romanek
Here are the latest failures - including one with 9% support, the lowest level since say-on-pay became law: - Patriot Scientific - Form 8-K (46% support) - Gentiva Health Services - Form 8-K (37% - also failed last year with 37% support) - Golden Star Resources - Form 8-K (38%) - Everest Re Group - Form 8-K (38%) - OraSure Technologies - Form 8-K (46%) - The Middleby Corporation - Form 8-K (48%) - Hecla Mining - Form… [read post]
14 Apr 2009, 6:55 am
Future research examining the role of information intermediaries in spreading corporate accounting information is likely to add to our understanding of the capital market information infrastructure. [read post]
17 Jan 2023, 10:29 am by Edward Welch and Nazia Khan
The SEC noted: Currently, there are no mandatory disclosure requirements concerning the use of Rule 10b5-1 trading arrangements or other trading arrangements by issuers or corporate insiders. [read post]
11 Sep 2017, 3:55 am by Broc Romanek
But the one that Equifax disclosed last week has an insider trading twist that all corporate lawyers should be aware of. [read post]
17 Feb 2010, 11:57 am by Page Perry LLC
Sellers of exchange traded funds are pandering to the latest investment fad and putting investors at peril, according to David K. [read post]
31 Aug 2017, 8:41 am by Adam Gana
According to BrokerCheck records, Siva and five other individuals allegedly engaged in securities fraud and profited by over $5 million by trading on insider information about dozens of impending corporate mergers, acquisitions, and tender offers. [read post]
6 Mar 2009, 12:44 pm
In the recently issued March 4th financial year 2008 10-K annual SEC filing for General Motors Corporation, Deloitte & Touche, its public auditors surprised everyone by expressing serious doubt about GM's ability to continue as a going concern in their auditors opinion to GM's financial statements. [read post]
20 May 2012, 5:01 am by Kirstin Dvorchak
The primary materials for this case may be found on the DU Corporate Governance website. [read post]
23 Aug 2011, 8:55 am by James Hamilton
The SEC staff, upon reviewing the Form 10-K filed by Northern Trust Corporation, inquired whether foreign currency trading services provided by the bank to customers amounted to proprietary trading under the Volcker rule. [read post]
25 Oct 2023, 4:15 am by David Lynn
With the SEC’s 2022 rules, companies will also need to file their insider trading policies and procedures as exhibits to Forms 10-K and 20-Fs, so boards should have a say in reviewing the policy. [read post]
6 Feb 2023, 3:39 am by Liz Dunshee
We’ll be providing even more guidance in the forthcoming issue of The Corporate Counsel newsletter. [read post]
29 Jan 2010, 12:51 pm
Since the beginning of 2009, the Company has launched the following products: July 2009: Plan Management Dashboard for corporate plan sponsors September 2009: Advisor Central for retirement-plan advisers January 2010: Personal 401(k) Fee Report for 401(k) participants. [read post]
29 Jan 2010, 12:51 pm
Since the beginning of 2009, the Company has launched the following products: July 2009: Plan Management Dashboard for corporate plan sponsors September 2009: Advisor Central for retirement-plan advisers January 2010: Personal 401(k) Fee Report for 401(k) participants. [read post]
16 Jan 2012, 5:15 am by Jim Sedor
Federal: Democratic National Convention Rules Set off K St. [read post]
7 Apr 2020, 6:20 am
, found a colorable claim that the board of a publicly traded company had breached its fiduciary duties by allegedly sitting on its hands while a stockholder group (which included three members of the board of directors) took advantage of the corporation’s depressed trading price to increase its ownership from 29 percent to 42 percent. [read post]