Latest Dodd-Frank Posts
Conflict Minerals: Supplier Communications
Public Companies and Securities Industry is ramping up efforts to comply with the Dodd-Frank Act’s conflict minerals requirements and the SEC’s final rules on the topic. Examples of supplier communications are beginning to appear in the public domain. Phillips has sent this letter to its suppliers. Flextronics has impressive supplier training materials. The American Apparel and Footwear Association has [...] Read more →
Crowdfunding and JOBS Act News Roundup
Public Companies and Securities Reuters reports that Representative Patrick McHenry, of North Carolina, who chairs the House Financial Services oversight panel, said he believes the Securities and Exchange... Read more →
Don’t Lie About Assets Under Management
Investment Advisers Umesh Tandon, president, chief compliance officer, and sole owner of Simran Capital Management, recently agreed to a settlement with the SEC relating to alleged violations of the... Read more →
8-K’s Announcing Reg FD Social Media Channels Begin; NYSE Weighs In
Public Companies and Securities, Uncategorized The SEC opened the barn doors on use of social media, or merely reaffirmed existing guidance, depending on your point of view, in a recent Section 21(a) report. Netflix, the... Read more →