Paul Bork

Paul Bork

Foley Hoag LLP

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SEC Issues Staff Legal Bulletin No. 20: Clarifying Disclosure Requirements For Proxy Advisory Firms

Background - On June 30, 2014, the SEC’s Divisions of Investment Management and Corporation Finance released Staff Legal Bulletin No. 20, a set of thirteen Questions and Answers offering guidance on...more

7/22/2014 - Disclosure Requirements Proxy Advisors Proxy Solicitations SEC Securities Exchange Act Shareholders

SEC No-Action Letter Allows Certain Kinds of “M&A Brokers” to Avoid Broker-Dealer Registration Under the Exchange Act

On January 31, 2014, the SEC’s Division of Trading and Markets issued a significant no-action letter permitting the involvement of “M&A Brokers” in business acquisition transactions involving privately-held companies. The...more

2/24/2014 - Broker-Dealer No-Action Letters SEC Securities Exchange Act

SEC Proposes Rules for Pay Ratio Disclosure

On September 18, 2013, the Securities and Exchange Commission proposed amendments to Item 402 of Regulation S-K (Item 402) under the Securities Exchange Act of 1934 (Exchange Act) that will require issuers to disclose the...more

10/1/2013 - CEOs Disclosure Requirements Pay Ratio Regulation S-K SEC Securities Exchange Act Wages

Federal Court Strikes Down SEC Resource Extraction Rule

On July 2, 2013, the United States District Court in Washington, D.C. invalidated Rule 13q-1 under the Securities Exchange Act of 1934 implementing the Dodd-Frank Act “resource extraction” provision requiring disclosure of...more

7/18/2013 - Dodd-Frank EDGAR Mining Oil & Gas Resource Extraction SEC Securities Exchange Act

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