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6 Apr 2018, 6:29 am
” Pitt was also “the brainstorm” behind the Sarbanes-Oxley requirement for management and auditor attestation, Cutler said. [read post]
23 Mar 2018, 7:24 pm
Tyler (Utah, February 22, 2018) (affirming summary judgment in favor of University of Utah Hospital pharmacy employees on Salo's defamation and other claims: defendants acted within the scope of their employment: they were engaged in the type of work they were employed to perform and their actions were not willful) Sarbanes-Oxley Genberg v. [read post]
16 Mar 2018, 6:08 am
Thomas (Vanderbilt University), on Friday, March 9, 2018 Tags: Board independence, Boards of Directors, Delaware articles, Delaware cases, Delaware law, Disclosure, Fiduciary duties, Hedge funds, In re Revlon, In re Trulia, Management, Merger litigation, Mergers & acquisitions, Settlements, Shareholder activism, Shareholder suits, Shareholder voting, Unocal v. [read post]
2 Mar 2018, 6:09 am
The Supreme Court and the Scope of Whistleblowing Anti-retaliation Protections Posted by Cydney Posner, Cooley LLP, on Friday, February 23, 2018 Tags: Disclosure, Dodd-Frank Act, Exchange Act, Misconduct, Rule 21F-2, Sarbanes–Oxley Act, SEC, Securities regulation, Supreme Court, U.S. federal courts, Whistleblowers Public Company Cybersecurity Disclosures Posted by Kara M. [read post]
26 Feb 2018, 3:00 am
We’re posting the flood of memos in our “Whistleblowers” Practice Area. [read post]
23 Feb 2018, 3:09 pm
I (the judge) know what that intention is because I’ve done my own survey of the federal law of whistleblowing — Dodd-Frank, Sarbanes-Oxley, and the SEC’s regulation on that subject. [read post]
29 Jan 2018, 11:28 pm
Many readers may have noted SEC Jay Clayton’s January 22, 2018 speech about his agency’s scrutiny of cryptocurrencies, as well as the January 24, 2018 opinion piece Clayton wrote in the Wall Street Journal along with his counterpart from the CFTC, J. [read post]
3 Jan 2018, 3:00 am
Insider Loans: SEC Brings a Rare Enforcement Proceeding Since we’re sort of taking a stroll down memory lane today, I thought it was appropriate to flag this recent blog from Steve Quinlivan about a recent enforcement proceeding involving violations of Sarbanes-Oxley’s prohibition on loans to insiders. [read post]
2 Jan 2018, 5:08 pm
The Trump Administration Re-Shapes the Federal Judiciary President Trump’s appointment of Neil Gorsuch to the U.S. [read post]
29 Nov 2017, 8:42 am
At that point, Chief Justice John Roberts opined that not only was a literal reading in this case not absurd, but “[t]he cases where you’re allowed to move beyond the defined term are when if you stick to it, it really makes a mess of the whole thing. [read post]
28 Nov 2017, 11:58 am
The Genberg case deals with the definition of reasonable belief under the Sarbanes-Oxley Act (SOX). [read post]
8 Nov 2017, 8:34 am
You blow the whistle because you’re optimistic that the person you’re speaking truth to power to is going to listen and right the ship”. [read post]
25 Oct 2017, 5:00 am
In some instances, the proposed changes fall outside the scope of changes to the Sarbanes-Oxley Act made by the Jumpstart Our Business Startups (JOBS) Act regarding EGCs, but in other instances the changes do fall within the JOBS Act provisions and the Commission determined that the new standards should apply to EGCs. [read post]
20 Oct 2017, 9:46 pm
Cypress Semiconductor Corporation (10th Cir., October 17, 2017) (vacating award for Dietz on the merits because Dietz did not reasonably believe Cypress engaged in offenses enumerated in the Sarbanes-Oxley Act)*Cases marked with an asterisk are cases the 10th Circuit does not consider binding precedent except under the doctrines of law of the case, res judicata, or collateral estoppel. [read post]
25 Aug 2017, 6:35 am
At a minimum, it urged the SEC to raise the thresholds for when a proposal can be re-submitted. [read post]
31 Jul 2017, 3:51 am
Around here, we aren’t just dwelling on the “Sarbanes-Oxley Blues” – we’re also sharing personal reflections on the landmark law. [read post]
25 Jul 2017, 3:00 am
Is Sarbanes-Oxley in the Cross-Hairs? [read post]
16 Jun 2017, 4:30 am
Some of you have already seen my article in Vox, Why It's So Hard To Say No To Your Boss - Even If You're The Directof of the FBI. [read post]
7 Jun 2017, 1:12 pm
They’re Real. [read post]
7 Jun 2017, 1:12 pm
They’re Real. [read post]
