Certificates of Compliance

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Good Compensation Committee News from Nasdaq

The Nasdaq Stock Market recently amended its listing rules to loosen the test for compensation committee member independence. The old rule, which implements the SEC’s Rule 10C-1 under the Exchange Act, prohibited members from...more

Monitoring Of Third-Party Agents And Distributors

Try to imagine what DaVinci said to himself when he painted his last brush stroke on the Mona Lisa. Or consider what Tolstoy muttered to himself when he put down his pen after writing the last word of War and Peace....more

SCOTX Fixes Word-Count Glitches

The Texas Supreme Court has issued an order correcting some of its recent amendments to the Texas Rules of Appellate Procedure. The most notable correction involves the certificate-of-compliance requirement regarding the new...more

Small Business Securities Bulletin - SEC Approves Nasdaq Rule Addressing Compensation Committees, Consultants

A periodic bulletin keeping small businesses informed about current developments in securities law and related matters. Final Nasdaq Rule - In our October 2012 Bulletin, we discussed The NASDAQ Stock Exchange LLC’s...more

FCC Reminds Advanced Communications Services Providers and Equipment Manufacturers of CVAA Recordkeeping Obligations and...

Recently, the FCC issued a Public Notice reminding the providers and equipment manufacturers of advanced communications services (ACS) of their obligation to maintain records evidencing their efforts to comply with the...more

Crafting a TRAP 9.4(i)(3) Certificate of Compliance

As promised yesterday, this post will cover what a certificate of compliance under the new word-count rules might look like, now that every computer-generated document filed in a Texas appellate court on or after December 1,...more

The DOJ And SEC Issue Their Comprehensive Guide To The U.S. Foreign Corrupt Practices Act

General Counsels, Chief Executive Officers, Chief Financial Officers, and Corporate Secretaries of U.S. publicly-traded companies across the country must take individual responsibility for the accuracy and completeness of...more

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