Read Securities Law news, alerts, and legal commentary from leading lawyers and law firms:
Compliance Advice on SEC’s Market Access Rule from Julie Dixon of Titan Regulation
Lawyer: European M&A Could Rise Despite Risks
Bill on Bankruptcy: The Market's Unquenchable Thirst for Junk
Are Political Intelligence Practice Groups Too Risky?
Greenberger: Derivatives Legislation Would Seriously Weaken Dodd-Frank
Bill on Bankruptcy: Lehman Test Case on Judicial Nullification
S&C's Cohen: Brown-Vitter Punishes Banks For Being Big
Cohen: Cyprus Is Not A Template For Future Restructurings
Release of new book on the 'Best Practices Under the FCPA and Bribery Act"
Bill on Bankruptcy: Kodak Plan Bumps the Debt, Craters Stock
STOCK Act Loses Much of Its Teeth, but Members of Congress Aim to Change That
Lessons Learned from the Parker Drilling DPA and Ralph Lauren NPA
Bill on Bankruptcy: Lawyers Easily Make Simple Words Complicated
Raj Mahajan, Allston Trading CEO, Talks HFT and the Business of Prop Trading
Lessons Learned from the BizJet Executives FCPA Enforcement Actions
Konczal: Dodd-Frank Reforms Get Roughed Up in Court
Bill on Bankruptcy: ResCap Report, a Bargain at $83 Million
Sullivan & Cromwell's M&A Hotline is Ringing
Bill on Bankruptcy: Stockton May Win the Battle, Lose the War
NFA Chairman Chris Hehmeyer Talks Bankruptcy Reform
Complex investment products have grown in importance as retail customers search for yield and broker-dealer firms look for innovative products to meet this demand and generate revenue. There are several steps a broker-dealer...more
Short case study of Disney's Corporation in re derivative litigation before the Supreme Court of the State of Delaware....more
One of the hallmarks of the public accounting profession is the requirement that auditors be independent from their clients, both in fact and in appearance – an obligation that is not imposed on other professional service...more
People use the Internet for countless reasons, ranging from posting thoughts and pictures onto blogs, to keeping up with friends and family, and even maintaining bank accounts and credit card balances. As we go through our...more
Auditor liability and accounting expert Dr. Barry Epstein explains why claiming reliance upon fraudulent or misleading information provided by the management of a company in a management representation letter is not a viable...more
Mar. 30 (Bloomberg) -- Marc Simon, a filmmaker and partner at Cowan, DeBaets, Abrahams & Sheppard LLP, discusses his documentary "Unraveled" which explores the downfall of Marc Dreier, a prominent Manhattan attorney, who was...more
When auditing a Chinese RTO (reverse takeover) issuer, it is the U.S. auditors’ task to educate the Chinese client regarding both the meaning of the term "related parties," and the disclosure requirements under U.S. GAAP with...more
This article reviews the basics of Chinese reverse takeover (RTO) companies, and of auditors’ responsibilities for the financial statements of foreign subsidiaries examined by other auditors. Some auditors may find themselves...more
It is the conventional wisdom among today’s academics that law students are better off participating in clinical programs administered in-house by the law schools than taking traditional courses in agency and trust law....more
A company is legally separate and distinct from its members. It is ultimately an artificial creation and it acts through its servants or agents. The decisions of a majority of its members in general meetings are regarded as...more
A summary and discussion about SEC v. Thor Industries, including the allegations, the remedies, who did or did not do what, and improvements that could be made by the SEC and in governance and risk....more
Shouldn't CLE be free? Now it is, as The Network of Trial Law Firms today launched its TRIAL.COM Online CLE Center at www.TRIAL.COM/cle. The service is 100% free and attorneys watching the videos can qualify for CLE credit in...more
An unfair competition claim brought against a stockbroker under California Business & Professions Code section 17200 must be dismissed on summary judgment because it is based on securities transactions. This was the February...more
The Sarbanes–Oxley Act of 2002 (Pub.L. 107-204, 116 Stat. 745, enacted July 30, 2002), also known as the 'Public Company Accounting Reform and Investor Protection Act' (in the Senate) and 'Corporate and Auditing...more
On January 4, 2011 the U.S. District Court for the Eastern District of California issued unpublished opinion dismissing claims by an investor against online broker TD Ameritrade. In Holland v. TD Ameritrade, Inc., 2011 U.S....more
When it comes to foreclosure, particularly those involving a mortgage sold to a trust, the media has reported all kinds of irregularities and improprieties. I thought it would be interesting to do a table of who might be...more
While erroneous or fraudulent financial reporting can occur even with a well conducted audit, the failure to comply with professional standards will typically make the auditors vulnerable. An understanding of auditing...more
When Good Lawyers Turn Bad - story about recent SEC action against Minnesota attorney and two real estate promoters. Govenment accuses lawyer of fraud and operating a Ponzi scheme - lawyer ran investment fund and collected...more
D&O, GRC and Accountant Update 8.28.10, the new SEC proxy access rules, and links to articles of interest. Dave Tate, Esq. http://davidtate.us...more
D&O, Governance, Risk, Compliance (GRC) and Accountant Update 8/20/10....more
Professional accounting designations (CPA, CIA, and CFE) each denote a distinct skill and experience set, and many professionals possess more than one of these qualifications. Selection of the best qualified individuals to...more
A brief discussion on third party liability of professionals (Aiding & Abetting liability). Posted by Attorney Brian Mahany, founder of MahanyLaw....more
Audit committee annual self evaluation form in Adobe allowing for information input....more
Who ruined your retirement portfolio? In his September 10, 2009 New York Times’ column, Accountants Misled Us Into Crisis , Floyd Norris points the finger at standard-setting accountants at the Financial Accounting Standards...more
Audit Committee Agenda updated April 1, 2009...more
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