Sarbanes-Oxley, Dodd-Frank | JD Supra Law News

Legal Alert: Court Rejects Retroactivity of Dodd–Frank's Whistleblower Remedies

by Thomas Bundy, III, Cynthia M. Krus, Allegra Lawrence-Hardy, Lee Peifer, Holly H. Smith, Lewis Wiener | Sutherland Asbill & Brennan LLP on 4/18/2013

Since the 2010 enactment of the Dodd–Frank Wall Street Reform and Consumer Protection Act, a recurring question in judicial opinions interpreting the Act’s whistleblower provisions has been whether these provisions should be...more

Doing Business in the U.S.

In This Issue: - Preface - Chapter 1 Choice Of A Business Entity - Chapter 2 Introduction To Federal Securities Laws - Chapter 3 From Let’S Go Shopping To Closing: U.S. M&A Process - Chapter 4...more

Global HR Hot Topic - April 2013: Internal Investigations in Overseas Workplaces

by Donald C. Dowling, Jr. | White & Case LLP on 4/2/2013

Challenge: In America, internal investigations into suspicions and allegations of employee misconduct follow an increasingly well-defined approach. But exporting US investigatory best practices raises unexpected...more

Retaliation and Whistleblower Claims by In-House Counsel

by Jeanne Barber, Edward Ellis, Linda Jackson, Earl (Chip) M. Jones III, Gregory Keating, Allan King, Patricia Martin, Amy Mendenhall, Roberta Ruiz | Littler on 4/1/2013

In This Issue: - Whistleblower protections and in-House Counsel - Sarbanes-oxley - The Dodd-Frank Act - The False Claims Act - Common Law Wrongful Discharge Claims - The Ethical...more

SEC Enforcement Update - The SEC Speaks in 2013

by King & Spalding on 3/5/2013

The U.S. Securities and Exchange Commission held its annual SEC Speaks program in Washington, D.C. on February 22-23, 2013. In the postfinancial crisis, post-Dodd-Frank world, it is clear that the Commission and its staff are...more

OSHA Whistleblower Program: Record Number of Cases Filed & Resolved In 2012

by Lloyd B. Chinn, Harris M. Mufson, Steven J. Pearlman | Proskauer - Whistleblowing & Retaliation on 1/28/2013

OSHA recently released statistics (aggregated by BNA) showing dramatic increases in both the number of whistleblower cases filed with OSHA last year as well as the number of OSHA determinations....more

District Court Requires SOX Plaintiff To Assert Shareholder Fraud, Consistent with Statute’s Purpose

by Lloyd B. Chinn, Rachel Fischer | Proskauer - Whistleblowing & Retaliation on 1/18/2013

The U.S. District Court for the District of North Carolina recently dismissed a plaintiff’s Sarbanes-Oxley whistleblower complaint on the ground that the plaintiff had not alleged shareholder fraud....more

The Whistleblower Era

by Michael Volkov on 11/21/2012

It has taken a long time but the status of whistleblowers has reached an all time high. Whistleblowers can expect even more encouragement and protections in the future. ...more

The Fight Isn’t Over: Employers Should Keep Battling The Definition of “Whistleblower” Under Dodd-Frank

by Lloyd B. Chinn, Harris M. Mufson, Steven J. Pearlman | Proskauer - Whistleblowing & Retaliation on 11/19/2012

The “Securities Whistleblower Incentives and Protection” section of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“DFA”) is an integrated scheme designed to encourage individuals to complain to the...more

A New Whistleblower Retaliation Statute Grows Up: Dodd-Frank is the new Sarbanes-Oxley.

by Pullman & Comley, LLC on 10/10/2012

Reading the headline, I’m sure a few of you rolled your eyes. Dodd-Frank? Sarbanes-Oxley? Those statutes are seen as dull and tedious. But a new federal court decision in Connecticut should start to change that, and it has...more

Federal District Court Expands Whistleblower Protections Under Dodd-Frank

by Foley & Lardner LLP on 10/2/2012

In enacting the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act), Congress provided a private right of action for employees who claimed retaliatory discharge under certain circumstances. The Act...more

Employers Should Take Note As Courts Begin to Clarify Their Approaches to Dodd-Frank Coverage Issues

by Margaret H. Campbell | Ogletree, Deakins, Nash, Smoak & Stewart,... on 8/15/2012

Over the past two years, we have seen the approach that the Administrative Review Board (ARB) has taken with respect to the scope and coverage of Dodd-Frank In almost every instance, the ARB has expanded the scope and...more

Current SEC Guidance for “Emerging Growth Companies” Seeking to Take Advantage of JOBS Act

by Davis Wright Tremaine LLP on 5/30/2012

The Jumpstart Our Business Startups Act (the “JOBS Act”) became law in April with a goal of improving access to capital markets and easing compliance burdens for newer and smaller public companies. Among other things, the...more

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Sarbanes-Oxley › Dodd-Frank Wall Street Reform and Consumer Protection Act