Search for: "Lowe v. SEC"
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18 Jan 2011, 8:00 am
" The sentence was written before the adoption of Dodd-Frank and the decision to give the SEC control over the compensation committee, shareholders the right to an advisory vote on compensation, and the SEC the clear regulatory authority to adopt an access rule. [read post]
18 Sep 2015, 5:18 pm
Related Issues: PrivacyLaw Enforcement AccessRelated Cases: Warshak v. [read post]
11 Aug 2021, 2:37 pm
These laws are purely discretionary, do not allow for anonymous or confidential whistleblowing, and set mandatory caps as low as $2500. [read post]
7 Apr 2008, 7:40 pm
The low-down from the West Coast: In United States v. [read post]
14 Nov 2011, 8:55 am
Without proper document retention and information governance, the probability of connecting the dots to discover insider trading or other malfeasance is low. [read post]
24 Jan 2011, 7:15 am
It traces back to SEC v. [read post]
5 Nov 2010, 5:27 pm
Janus Capital Group, Inc. v. [read post]
7 Sep 2013, 7:42 am
SEC v. [read post]
3 Jul 2018, 11:14 am
” Uniform Definition of “Whistleblower” In the wake of Digital Realty Trust, Inc. v. [read post]
21 Jul 2011, 2:02 pm
SEC v. [read post]
25 Jan 2016, 5:00 am
These include boards not prioritizing recruiting diverse candidates; few women in the traditional pipeline to board service—with CEO or board experience; and low turnover of board seats Most stakeholders interviewed supported improving SEC disclosure requirements on board diversity. [read post]
21 Apr 2016, 3:09 am
Circuit (see In Falcon Trading Group Ltd. v. [read post]
21 Apr 2016, 3:09 am
Circuit (see In Falcon Trading Group Ltd. v. [read post]
29 Oct 2013, 6:50 am
Noting that the interplay between the Dodd-Frank whistleblower and anti-retaliation provisions was ambiguous, a federal district court in New York looked to the SEC’s interpretation of a rule, found an employee need not report his potential fraud to the SEC to obtain protection against retaliation, and denied the employer’s motion to dismiss (Rosenblum v. [read post]
25 Jan 2012, 11:03 am
The SEC's Memorandum in Koss Corporation seems low-key in comparison to the answers the SEC provided to the Judge's questions in Citigroup Global Markets. [read post]
16 Feb 2015, 6:37 am
It was “no stretch of the imagination” to find the convictions rationally related to job circumstances requiring a need to remain polite and professional when faced with time and interpersonal stresses (Williamson v. [read post]
13 Feb 2023, 9:05 pm
Regulation S-K Item 402(v), the most recent disclosure requirement set forth in August 2022, requires the tabulation of more granular compensation details, stock returns, peer returns, and other performance measures. [read post]
16 Nov 2011, 8:22 am
This settlement, which still most be approved by the Court, comes almost four months after the SEC rejected a previous settlement proposed by its own enforcement staff which would have recovered less than half of the amount sought in the Complaint (as previously discussed here).The SEC's Complaint in SEC v. [read post]
7 May 2015, 7:56 am
Circuit Court of Appeals heard arguments from the SEC and a mutual fund regarding the SEC’s decision to deny the fund’s application for an exemption for its method of accounting for potential deferred tax liability (Copley Fund, Inc. v. [read post]
30 Apr 2012, 8:18 am
”The court affirmed the judgment for the SEC, finding that the defendant was liable for disgorgement of $2,059,077 in investor funds, a civil penalty in that amount, and $597,426 in prejudgment interest, for a total judgment of $4,715,580.SEC v. [read post]
