Latest Dodd-Frank Posts
SEC Commissioner Believes Rule 10b-18 should not be Available if Executives are Selling
Executive Compensation, Public Companies and Securities SEC Commissioner Robert J. Jackson Jr. recently gave his views on stock buybacks. Much of the speech focused on Rule 10b-18 which is used by public companies when conducting stock buybacks. Rule 10b-18 provides a safe harbor from securities-fraud liability if the pricing and timing of buyback-related repurchases meet certain conditions. Among other things, Commissioner Jackson […] Read more →
Minnesota Revises Business Organization Statutes
Public Companies and Securities Minnesota Governor Mark Dayton has signed into law revisions to several Minnesota business organization statutes including the Minnesota Business Corporation Act, the Minnesota... Read more →
SEC Charges 13 Private Fund Advisers for Failure to File Form PF
Litigation, Private Equity The SEC announced settlements with 13 registered private fund investment advisers who repeatedly failed to provide required information that the agency uses to monitor risk. In... Read more →
Dodd-Frank Rollback Requires Changes to Regulation A+ and Rule 701
Public Companies and Securities The Economic Growth, Regulatory Relief, and Consumer Protection Act (S. 2155), which is primarily aimed at easing regulations on community banks, also contains provisions designed... Read more →