Public Disclosure

News & Analysis as of

“Reasonable Cause” Standard Highlighted In OSHA’s Revised Whistleblower Investigations Manual

On January 28, 2016, OSHA issued a revised Whistleblower Investigations Manual (“Manual”) outlining procedures for the handling of retaliation complaints under the various whistleblower statutes that OSHA oversees. Chapter 3...more

Winery Equity Crowdfunding Raises Opportunities, Risks

Many are familiar with the rewards-based model of crowdfunding popularized by websites like Kickstarter and Indiegogo. The basic idea is that a group of individuals — the “crowd” — contributes funds to a company or project in...more

SEC Extractive Industry Transparency Requirements Move Forward

On December 11, 2015, the Securities and Exchange Commission (“SEC”) issued a new proposed rule to implement a key provision of the Dodd-Frank Act that targets corruption and increases transparency requirements for payments...more

Court Holds SEC Filing Is Not Public Disclosure

California has patterned its false claim law, Cal. Gov’t Code §§ 12650 et seq., after the federal False Claims Act. As the names of these laws suggest, they are intended to protect the public fisc from false or fraudulent...more

Court Reaffirms CA Attorney General’s Demand for Donor List

Donor information is expected to remain confidential. With an apparent thumbs up from the U.S. Supreme Court, the Ninth Circuit Court of Appeals once again upheld the position of the California Attorney General (AG)...more

Minnesota Lobbyist Disbursement Reports — Due January 15, 2016

In accordance with the Minnesota Campaign Finance and Public Disclosure Act, each lobbyist who registers with the Minnesota Campaign Finance and Public Disclosure Board must periodically disclose the total amount of money...more

Public disclosure bar prohibits "bounty-hunting" relators from filing duplicative FCA claims

The United States Court of Appeals for the Seventh Circuit has issued an opinion that underscores the importance of the "public disclosure bar" in False Claims Act (FCA) litigation. The court affirmed a lower court’s...more

D.Mass. Invokes Public Disclosure Bar, Demands Specificity, and Refuses to Second-Guess FDA in Dismissing Axium/Onyx Qui Tam Case

It’s not as if the standard for amending pleadings is a particularly hot DDL topic, but here we go for the second time this week discussing a case where precisely that was at issue. This time the case was U.S. ex rel....more

D.Mass. Invokes Public Disclosure Bar, Demands Specificity, and Refuses to Second-Guess FDA in Dismissing Axium/Onyx Qui Tam Case

It’s not as if the standard for amending pleadings is a particularly hot DDL topic, but here we go for the second time this week discussing a case where precisely that was at issue. This time the case was U.S. ex rel....more

PCAOB Outlines Priorities for 2016

As part of its annual budget process for 2016, the Public Company Accounting Oversight Board reviewed the priorities set forth in its 2015-2019 Strategic Plan. Commenting on the adoption of its $257.7 million budget for...more

Federal Securities Law Implications of the FAST Act

New rules enhance IPO accommodations under the JOBS Act and provide private resale exemption. On December 4, US President Barack Obama signed the Fixing America’s Surface Transportation Act (the FAST Act or the Act, H.R....more

False Claims Act: 2015 Year in Review

This year continued the trend of aggressive False Claims Act (FCA) enforcement by the Department of Justice (DOJ) and high volumes of qui tam lawsuits brought by whistleblowers. In fiscal year 2015, the DOJ marked the fourth...more

PCAOB Adopts Rules to Require Public Disclosure of Engagement Partners and Audit Participants

Culminating a process begun in 2009, and that encompassed a concept release and three separate rule proposals, the Public Company Accounting Oversight Board has adopted new auditor transparency rules. The rules will require...more

SEC Reproposes Rule 13q-1 Requiring Extraction Industries to Publicly Disclose Payments to Governments

On Friday, December 11th, the Securities and Exchange Commission (SEC) voted to repropose Rule 13q-1 to require disclosure of certain payments made by resource extraction companies to the U.S. or other governments. The...more

Addressing Climate Change in SEC Filings and Other Public Disclosures: What These Disclosures Mean for Businesses

Regulatory agencies are focusing on required climate change-related disclosures in securities filings and other public disclosures, seeking to ensure not only that such disclosures are made, but also that they are supported...more

SEC Proposes Rules Requiring Public Disclosure of Operations and Activities of Alternative Trading Systems, Broker-Dealer...

On November 18, 2015, the Securities and Exchange Commission (“SEC”) issued Release No. 34-76474 (the “Proposing Release”) in which the SEC proposed rules designed to enhance operational transparency and regulatory oversight...more

SEC Proposes Rules To Enhance Transparency And Oversight Of Alternative Trading Systems

The SEC announced this week its proposal to substantially overhaul the rules regarding alternative trading systems (“ATS”), often referred to as dark pools. The proposed rules would require firms operating ATSs to make...more

Verifying Anti-Corruption Programs – Insights from TI-USA

Has your company implemented a program to prevent, deter and detect corruption? If so, have you verified it to ensure it is effective and appropriate for the level of risk faced by your company? Verification of...more

Reporting for Duty: HMDA Regs Finalized

Why it matters Reporting requirements for financial institutions under the Home Mortgage Disclosure Act (HMDA) regulations were finalized by the Consumer Financial Protection Bureau (CFPB), with most provisions of the...more

NYSE Amends Rule Regarding Disclosure of Material Nonpublic Information

Companies listed on the New York Stock Exchange (NYSE) are certainly familiar with the NYSE rules regarding public disclosure of material information. Those rules require prompt disclosure of material information that may...more

TLAC, and Then Some… A Preliminary Assessment of the Federal Reserve Board’s NPR

On Friday, October 30, 2015, the Federal Reserve Board (“Board”) reaffirmed its commitment to both the bank holding company model and single point of entry resolution. In a departure from historical views of the purpose and...more

Governor Brown Signs Legislation Changing Commercial Building Owner Obligations on Energy Usage Disclosure

On October 8, 2015, California Governor Jerry Brown signed into law AB 802, which among other actions repeals the existing nonresidential building energy usage disclosure requirements. The prior law, AB 1103, codified in the...more

Managing Legal and Reputational Risks in an Era of Enhanced Transparency

Companies face a range of new requirements and expectations calling for enhanced transparency regarding human rights-related risks in connection with their operations. Responsible compliance with both mandatory requirements...more

OEHHA Issues Further Modification of Warning Website Regulations

On September 4, 2015, the California Office of Environmental Health and Hazard Assessment (“OEHHA”) provided notice of additional changes to its proposal to establish a website, operated by OEHHA, which would provide...more

New Legislation (AB 802) To Replace Existing Energy Use Disclosure Law (AB 1103)

On Thursday, October 8, 2015, Governor Jerry Brown signed into law Assembly Bill 802 (AB 802). AB 802 creates a new energy use disclosure program for the State of California, and replaces the existing law, Assembly Bill 1103...more

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