Latest Dodd-Frank Posts
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 employer about suspected illegal activity regarding non-public clients. The Plaintiff discovered what she believed were accounting irregularities in tax matters for non-public clients and complained to administrators […] 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 →
NYSE Proposes to Revise Notifications Prior to Dividend Announcements
Public Companies and Securities The NYSE has filed a proposed rule with the SEC which will require listed companies to provide notice to the Exchange at least 10 minutes before making any public announcement... Read more →
SEC Confirms Sales of NFL Fan Memberships Fall Outside of Securities Act
Uncategorized In a no-action letter issued earlier this week, the Staff of the Division of Corporation Finance granted relief to LA Fan Club, “a fan club for loyal fans of the Rams football... Read more →