Dodd-Frank Public Companies and Securities
SEC Commissioner Supports Mandatory Shareholder Arbitration
Litigation, Public Companies and Securities Reuters is reporting that SEC Commissioner Michael Piwowar urged IPO companies to request relief from the SEC to include mandatory arbitration provisions for shareholder disputes. Commissioner Piwowar apparently made the comment in as yet unpublished remarks during an appearance at the Heritage Foundation. In 2012, Carlyle reportedly dropped a mandatory arbitration provision from its IPO […] Read more →
New SEC Chair Announces Guiding Principles
Banking, Broker-Dealer, Public Companies and Securities In remarks before the Economic Club of New York, new SEC Chairman Jay Clayton discussed eight guiding principles: Principle #1: The SEC’s mission is our touchstone. Investors... Read more →
CPA Can’t be a Whistleblower for Non-Public Entities
Employment, Executive Compensation, Litigation, Public Companies and Securities Reyher v. Grant Thornton, LLP analyzed whether an employee of a CPA firm is protected by the anti-retaliation provisions of the Dodd-Frank Act for lodging complaints with an... Read more →
SEC Issues Additional Guidance on Voluntary Confidential Submissions for All Issuers
Public Companies and Securities As previously reported here, on June 29, 2017, the Division of Corporation Finance announced that it would accept draft registration statements from all issuers for nonpublic... Read more →