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27 Apr 2015, 3:26 am
Last week, the SEC announced its 2nd whistleblower award to someone with an internal audit or compliance role, giving $1 million (see the memos about both of these awards in our “Whistleblowers” Practice Area)… – Broc Romanek [read post]
31 May 2011, 4:06 am
" - Broc Romanek [read post]
4 Apr 2014, 3:19 am
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8 May 2013, 4:12 am
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21 Jul 2011, 5:49 am
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20 Dec 2011, 3:56 am
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7 Jan 2014, 4:09 am
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28 Oct 2014, 3:13 am
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2 Feb 2012, 4:33 am
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20 Oct 2009, 4:54 am
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17 Jan 2014, 4:12 am
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17 Oct 2016, 3:40 am
I have blogged about this saga before… Here’s a blog by Kevin LaCroix about Warren’s letter, noting it came on the heels of the SEC announcing record Enforcement activity… – Broc Romanek [read post]
11 Sep 2015, 5:47 am
[More…] Rule 506(c): Updated Stats by Broc Romanek in TheCorporateCounsel.net Since the exemption became available in September 2013, Form D filing data indicates that as of June 30, 2015: – Filers checked that they intended to rely on Rule 506(c) in almost 2,900 new offerings, and planned to raise more than $37 billion in new capital and – Filers checked that they intended to rely on Rule 506(b) in approximately 34,800 new offerings, and planned to raise more… [read post]
29 Sep 2014, 3:38 am
” – Broc Romanek [read post]
27 Oct 2014, 3:31 am
The Coalition has set a goal of women holding 30% of board seats across public companies by the end of 2015, up from the 17% current ratio… – Broc Romanek [read post]
1 Feb 2010, 4:14 am
Below is an anonymous survey about whether your company has taken action to adopt this bifurcated record date format: Online Surveys & Market Research - Broc Romanek [read post]
19 Nov 2010, 4:08 am
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27 Jun 2016, 3:17 am
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3 May 2011, 4:26 am
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16 Sep 2011, 1:44 am
Now that the SEC's stay is being lifted, it's a good time to gauge how many shareholder proposals dealing with proxy access do you think will be submitted to companies next proxy season: Online Surveys & Market Research - Broc Romanek [read post]
