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For Whom The Whistle Blows: SEC Whistleblower Office Issues Its 2015 Annual Report

The SEC released its Fiscal Year 2015 Annual Report (the “Report”) to Congress on the Dodd-Frank Whistleblower Program on November 16, 2015. The Report analyzes the tips received over the last twelve months by the SEC’s...more

SEC Says there are (Almost) No Excuses for Late Whistleblowers

The SEC announced a whistleblower award totaling more than $325,000 for a former investment firm employee who tipped the agency with specific information that enabled enforcement staff to open an investigation and uncover the...more

Blog: Does Disclosure Of A High CEO-Employee Pay Ratio Affect Consumer Behavior?

The answer is yes, according to a recent study from the Harvard Business School, “Paying Up for Fair Pay: Consumers Prefer Firms with Lower CEO-to-Worker Pay Ratios. Just in time to be part of the mood music for the SEC’s...more

Sixth Circuit Changes Course on Proof Required to Show Protected Whistleblower Activity Under SOX

The Sarbanes-Oxley Act (SOX) provides anti-retaliation protection to whistleblowers who engage in “protected activity.” To engage in protected activity under SOX, the whistleblower must provide information to the Securities...more

SEC Brings First Action Against Company for Potentially Stifling Whistleblowers With Confidentiality Statement

The Securities and Exchange Commission recently charged KBR, Inc., a Delaware corporation specializing in technology and engineering, with a Rule 21F-17(a) violation for using language in employee confidentiality statements...more

Think Twice Before Firing an Employee for Facebook Posts

Social media continues to play an important role in all aspects of a company’s internal and public communications. Companies are utilizing social media to make SEC disclosures, coordinate targeted advertising and marketing...more

This Article Will Self-Destruct: Your Employee’s Use of These ESI-Destroying Apps Could Subject You to Sanctions

In This Issue: - Can You Keep a Secret? There’s an App for That - Do Snapchat or Confide Produce “Documents” in the Eyes of the Law? What about Evidence? - Implications on Securities Fraud and Employment Issues...more

Social Media Training is About Balance: Embrace the Power, Mitigate the Risks

Perhaps you’ve heard of this crazy new thing called “Social Media.” Of course you have. Even your grandmother uses Facebook now, right?...more

Preventing Exchange Act Reporting Obligations After The JOBS Act

In General - Growing companies need to be aware of the requirements of Section 12(g) of the Exchange Act. If the thresholds of Section 12(g) are crossed, which look principally to the number of shareholders, the...more

Marketing Investment Management Services to Public Retirement Systems: Complying with Applicable Laws and Regulations

It is well-known that high-profile jurisdictions such as California and New York City have in certain instances placed lobbyist registration requirements on investment managers that solicit investment advisory business from...more

Investment Management Legal + Regulatory Update -- May 2013

In This Issue: Regulatory Updates - SEC Allows Limited Use of Social Media for Public Disclosure; Federal Reserve Board Publishes a Final Rule Specifying when Nonbank Firms are “Predominantly Engaged in...more

Should You Fire Employees Who Use (or Misuse, However Defined) Social Media?

A few days ago, The New York Times, ran a series of short essays from people on its “Room for Debate” page. The question it posed? “Should employers get tough with strict policies about social media activity, so that...more

Corporate and Financial Weekly Digest - April 5, 2013

In this issue: - SEC Advisory Committee on Small and Emerging Companies Makes Recommendations - SEC Provides Guidance Regarding Social Media and Regulation Fair Disclosure (Regulation FD) - SEC Amends...more

Corporate Law Report: Managing Cyber Risks, BYOD, Obama's NLRB Crisis, Iran Sanctions, and More [Video]

Our latest Corporate Law Report looks at: - top ways to manage cyber risks in the workplace; - the growing trend of employees bringing their own electronic devices (BYOD) to work; - new reporting requirements as a result...more

New State Laws Prohibit Employers and Academic Institutions from Requesting Usernames and Passwords to Monitor Social Media...

An increasing number of states are passing laws that prohibit employers and academic institutions from requesting or requiring employees, job applicants, students, and prospective students to turn over their social media...more

Disclosure tips for 2013

The proxy and annual reporting season has begun, with relatively few changes in reporting requirements from last year. Here are some tips to take you through the season and prepare for changes to come. 1. Consider the...more

Lessons Learned in 2012

As one calendar year ends and the next begins, it is natural to look back to take an inventory of lessons learned and to look forward in an attempt to implement such lessons. The year 2012 certainly had its fair share of...more

ERISA Participant Disclosure Will Not Violate SEC Advertising Rules

In response to a request from the Department of Labor (DOL), the staff of the Securities and Exchange Commission (SEC) on October 26, 2011, issued a no-action letter concluding that disclosure provided by a retirement plan...more

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