For the first time, the SEC has entered into a Non-Prosecution Agreement (NPA) with a company relating to misconduct under the Foreign Corrupt Practices Act (FCPA). The SEC decided not to prosecute Ralph Lauren Corporation...more
4/23/2013
- Compliance Enforcement FCPA Investigations Ralph Lauren SEC
Today the CFTC and the SEC jointly issued final rules that require regulated entities to adopt programs designed to prevent identity theft – so-called “red flags” rules....more
4/11/2013
- CFTC FCRA Identity Theft Red Flags Rules SEC
April 5, 2013 marked the one-year anniversary of the passage of the JOBS Act. Here’s a roundup of a few of the media outlets that took the occasion as an opportunity to provide commentary on the effectiveness of the...more
4/9/2013
The Delaware chancery court recently restored some clarity to its jurisprudence regarding the effect of a reverse triangular merger (RTM) on contracts of the target company that contain anti-assignment clauses. An April 2011...more
3/4/2013
- Assignments Reverse Triangular Mergers
FINRA has released a set of FAQs relating to its review of public offerings filed with FINRA’s Public Offering System, which replaced COBRADesk as FINRA’s online filing system in June of 2012....more
2/4/2013
- FINRA Public Offerings Right of FIrst Refusal
