Posts from Tom Jensen
Recent CLE Materials – Minnesota Law
Litigation, Uncategorized David Jenson and I recently presented at the Minnesota CLE’s annual Business Law Institute. Our formal 2011 case and statutory summary can be accessed here and our PowerPoint can be accessed here. We’ve also included our summary from 2010 here. Among other things, they contain plenty of cautionary tales for lawyers and their business clients [...] Read more →
Some Ruminations on the JOBS Act’s Regulation D Provisions
Broker-Dealer, Private Equity, Public Companies and Securities The Dodd-Frank Act was overarching, cumbersome and, from its inception, has created much ongoing regulatory uncertainty. While there are some open issues raised by the JOBS Act,... Read more →
More SEC Color on Current Investment Advisers Issues
Uncategorized In keynote remarks given at the PLI Investment Management Institute last week, SEC Commissioner Elisse B. Walter reiterated her support for the “need to protect retail... Read more →
Dodd-Frank vs. Reality
Investment Advisers Last week the SEC “was persuaded” to extend the compliance date for Dodd-Frank Act’s requirement that registered investment advisers provide their clients with... Read more →
Will Whistleblower Claims Give Rise to More SEC Enforcement Actions?
Broker-Dealer, Investment Advisers, Private Equity The Dodd-Frank Act’s whistleblower protection provisions will go into effect no later than nine months after July 22, 2010. When they do, it will be interesting to see if they... Read more →
FINRA to SEC: “No Need to Reinvent the Wheel”
Broker-Dealer Not surprisingly, FINRA strongly supports the creation of a new self-regulatory organization to enhance the frequency of examinations of investment advisers – one based on... Read more →
FINRA Ups the Retail Customer Disclosure Ante
Broker-Dealer The Dodd-Frank Act clearly emphasized the need to clarify the ongoing confusion, especially in the eyes of the retail investing public, of the distinctions between broker-dealers... Read more →
SEC Publishes Golden Parachute Rule Release
Executive Compensation, Public Companies and Securities Yesterday, as part of its “Say on Pay” rulemaking proposals, the SEC released its proposed rules for disclosure of golden parachute arrangements in the transactional... Read more →
Sarbanes-Oxley Prevents Indemnification for Clawback Claims – Dodd-Frank Implications
Executive Compensation, Litigation Sarbanes-Oxley requires executives to reimburse their public company employers for bonuses and profits realized from the sale of company stock for the 12 month period following... Read more →
President Obama Signs First Amendment to Dodd-Frank Into Law
Litigation, Public Companies and Securities As widely expected and reported earlier at Dodd-Frank and the Law, yesterday President Obama signed the Dodd-Frank Freedom of Information Restoration Amendments, which repealed... Read more →