Dorsey & Whitney LLP

SEC Publishes Concept Release on Audit Committee Disclosures

On July 1, 2015, the Securities and Exchange Commission published its long-expected concept release seeking public comment on expanded disclosure requirements for audit committees. The Commission noted that, although audit…more
| Business Organizations, Securities Law

FCC Open Internet Advisory Procedures - Possibilities and Potential Pitfalls

As we head into this long holiday weekend, the FCC gives us something to think about. To seek guidance or not to seek guidance, that is the question. Today, the FCC released its Open Internet Advisory Opinion Procedures…more
| Administrative Law, Communications & Media Law, Science, Computers, & Technology

SEC Files It's First Robocop Cherry Picking Action

When the SEC announced it financial fraud task force and a related data initiative to facilitate the identification of situations where the company “cooked the books,” many dubbed the data program “Robocop.” While the SEC may be…more
| Administrative Law, Civil Procedure, Finance & Banking, Business Torts, Securities Law

SEC Issues Proposed Rules for Clawback Policies and Related Disclosure

On July 1, 2015, the Securities and Exchange Commission proposed rules regarding clawback policies and disclosure, requiring the recovery of incentive-based compensation of officers in cases of material non-compliance with…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

DOL’s Much-Anticipated Proposed “White-Collar” Exemption Rules Focus on Increased Salary-Basis Requirements

The Department of Labor (DOL) today issued proposed regulations which, if adopted, will dramatically increase the number of executive, administrative and professional (white collar) workers eligible to earn overtime compensation…more
| Labor & Employment Law

The U.S. Supreme Court’s Decision in Texas Department of Housing & Community Affairs v. Inclusive Communities Project, Inc.

In Texas Department of Housing & Community Affairs v. Inclusive Communities Project, Inc., 576 U.S. ___, 2015 WL 2473449 (Jun. 25, 2015), the U.S. Supreme Court, in a 5-4 decision, held that disparate impact discrimination…more
| Civil Procedure, Constitutional Law, Real Estate - Residential, Taxation

SEC Sanctions KKR Over Fee Allocations

The SEC filed its first action involving a private equity fund and broken deal expenses. By the time the Commission discovered the question the firm realized it did not have a disclosure policy, retained a consultant to study…more
| Administrative Law, Business Organizations, Commercial Law & Contracts, Finance & Banking, Securities Law

SEC Sanctions Goldman Based on Market Access Rule

The SEC filed another action based on its market access rule. This time the Respondent is Goldman, Sachs & Co., a wholly owned subsidiary of The Goldman Sachs Group, Inc. In the Matter of Goldman, Sachs & Co., Adm. Proc. File…more
| Administrative Law, Commercial Law & Contracts, Finance & Banking, Securities Law

Former Qualcomm Executive Sentenced For Insider Trading

Jing Wang, a former Qualcomm Inc. Executive Vice President began by constructing a cover-up. Then he engaged in insider trading, using inside information taken from his employer. The scheme failed. Mr. Wang has been sentenced to…more
| Criminal Law, Securities Law

State Breach Notification Laws Continue To Change

State breach notification laws continue to be amended to (1) provide for notification of a state attorney general or regulator about a breach in addition to affected individuals, (2) cover breaches involving personal information…more
| Civil Remedies, Consumer Protection, Privacy, Science, Computers, & Technology

SEC Publishes Staff Interpretations on New Regulation A+

The Securities and Exchange Commission has published 11 Compliance and Disclosure Interpretations (“C&DIs”) related to the new rules implementing “Regulation A+,” which became effective June 19, 2015. The C&DIs are numbered…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Securities Law

Delaware Rapid Arbitration Act

On April 2, 2015, Delaware Governor Jack Markell signed legislation enacting the Delaware Rapid Arbitration Act (“DRAA”) which became effective on May 2, 2015. 10 Del. C. § 5801, et seq. On June 17, 2015, the Delaware Supreme…more
| Alternative Dispute Resolution (ADR), Civil Procedure, Civil Remedies, Commercial Law & Contracts, Constitutional Law

This Week In Securities Litigation

The SEC brought another custody rule action this week – against the outside auditors alleging that one examination was insufficient and the others incomplete thereby causing the client to violate the surprise audit requirement…more
| Securities Law

New Update June 25, 2015 US China Trade War — TAA Passes House– Heavy Lift of TPP Negotiations Continue

On June 25, 2015, the House of Representatives passed the African Growth and Opportunity Act (“AGO”) by a vote of 286 to 138, which includes Trade Adjustment Assistance (“TAA”), and the bill, has been sent to President Obama. On…more
| Elections & Politics, International Law & Trade

SEC Files Another Suspicious Trading Case

Outsized trades continue to draw SEC scrutiny and enforcement actions – even where the agency does not have the evidence to fully plead a claim. Despite the difficulties of these so-called “suspicious” trading cases, in many…more
| Finance & Banking, Securities Law
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