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19 Jan 2010, 5:00 am by Doug Cornelius
Sources: SEC’s New Enforcement Cooperation Initiative website Section 6.2 of the SEC Enforcement manual (.pdf) Press Release – SEC Announces Initiative to Encourage Individuals and Companies to Cooperate and Assist in Investigations Video of SEC press conference on January 13 The SEC Enforcement Division’s Big Day: Changes Galore by Broc Romanek for The Corporate Counsel.net New Cooperation Tools, Units An Enforcement Game Changer by Melissa Klein Aguilar for… [read post]
23 Sep 2013, 3:07 am by Broc Romanek
Mulls Audit Reforms - Delaware Enacts Benefit Corporation Legislation - Fair Value Reporting: Active Markets Not a Sound Basis - GAO Issues Report on Internal Control Audits for Small Companies - Broc Romanek [read post]
22 Dec 2015, 3:23 am by Broc Romanek
They are all quite distinct – Kirkland’s & Pearl Meyers are simple (which I like), Davis Polk has one that is like a puzzle (sort of), Morris Nichols has a pretty winter scene of Wilmington, and Haynes and Boone has a very elaborate flight through a traditional winter wonderland…thanks to WilmerHale’s Tom White & BrooksPierce’s David Smyth for the inspiration to follow-through on this blog… – Broc Romanek [read post]
17 Oct 2011, 3:51 am by Broc Romanek
Here are some of the latest entries: - More on "Putting an Overall Pricetag on XBRL" - The Need for Continuing Disclosure by Private Companies - Second Circuit: Rating Agencies Are Not "Underwriters" Under the '33 Act - Galleon and the Recent Scrutiny of Expert Networks - Fraudulent Private Placements: Court Finds Distinction Between Broker and Underwriter - Even More on "Insider Trading Analysis of Sokol Charges" - Broc Romanek [read post]