Dodd-Frank Public Companies and Securities
8th Circuit to Determine Scope of Dodd-Frank Whistleblower Claim
Employment, Litigation, Public Companies and Securities The United States District Court for the District of Nebraska has certified a question for interlocutory appeal to the Eighth Circuit in the case of Bussing v. COR Clearing, LLC (8:12-cv-238). The question involves whether improper conduct has to be reported to the SEC to qualify for anti-retaliation whistleblower protection under the Dodd-Frank Act. You […] Read more →
Examples of Social Media in M&A Transactions
Public Companies and Securities In April 2014, the SEC provided guidance on the use of social media in M&A and other contexts. Companies have begun to cautiously make use of the guidance but the flood gates... Read more →
When is a Consultant an Executive Officer? – SEC Brings Another Case
Employment, Litigation, Public Companies and Securities The SEC has instituted administrative proceedings against a registrant and others alleging that two individuals with prior law violations secretly controlled the operational and... Read more →
Conflict Minerals: SEC Position on Non-Metallic Forms of Tin
Public Companies and Securities, Uncategorized Shortly before the filing deadline for the first conflict minerals filings on Form SD, it became known that the SEC believed non-metallic forms of tin are not conflict minerals... Read more →