In a three-to-two vote, the U.S. Securities and Exchange Commission adopted a final rule amending its whistleblower program, which pays monetary awards to individuals who voluntarily provide information to the SEC about a...more
The U.S. Securities and Exchange Commission announced on July 2, 2018, that The Dow Chemical Company had agreed to a cease and desist order and to pay a $1.75 million penalty for failing to disclose certain expenses as...more
7/16/2018
/ Cease and Desist Orders ,
Disclosure Requirements ,
Employee Training ,
Enforcement Actions ,
Executive Compensation ,
Policies and Procedures ,
Proxy Statements ,
Regulation S-K ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Whistleblowers
The upcoming U.S. Supreme Court term promises to be a big one, featuring a patent case that could be a game changer for many clients and a host of other cases that may affect how tech and life sciences companies deal with...more
10/2/2017
/ Administrative Proceedings ,
Anti-Retaliation Provisions ,
Carpenter v US ,
Chevron Deference ,
Class Action ,
Class Action Arbitration Waivers ,
Corporate Counsel ,
Digital Realty Trust Inc v Somers ,
Dodd-Frank ,
Energy Sector ,
Epic Systems Corp v Lewis ,
Federal Arbitration Act ,
First Amendment ,
Fourth Amendment ,
Free Exercise Clause ,
Free Speech ,
Intellectual Property Protection ,
Inter Partes Review (IPR) Proceeding ,
Internal Reporting ,
LGBTQ ,
Location Data ,
Masterpiece Cakeshop Ltd v Colorado Civil Rights Commission ,
NLRA ,
Oil States Energy Services v Greene's Energy Group ,
Patent Trial and Appeal Board ,
Patents ,
Public Accommodation ,
Religious Discrimination ,
SAS Institute Inc. v Lee ,
SCOTUS ,
Search & Seizure ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Stored Communications Act ,
Technology Sector ,
USPTO ,
Whistleblowers
The SEC recently issued guidance specifying that whistleblowers do not first have to take their concerns to the SEC in order to be covered by the SEC’s anti-retaliation rule. The guidance clarifies that those whistleblowers...more
9/22/2015
/ Anti-Retaliation Provisions ,
Barnes and Noble ,
Confidentiality Agreements ,
Enforcement Actions ,
Internal Investigations ,
Internal Reporting ,
KBR (formerly Kellogg Brown & Root) ,
Retaliation ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Whistleblowers ,
White Collar Crimes
A CD or not a CD, That is the Question… That the Auditors Should Have Answered -
A headline-grabbing SEC enforcement action last week against BDO USA and several of its national partners may lead audit firms to insist on...more
9/18/2015
/ Auditors ,
Bank of New York (BNY) Mellon ,
Bribery ,
Compliance ,
Confidentiality Agreements ,
Construction Contracts ,
Criminal Conspiracy ,
Cybersecurity ,
Data Protection ,
Data Security ,
Defense Contracts ,
Department of Justice (DOJ) ,
Embezzlement ,
Enforcement Actions ,
Federal Trade Commission (FTC) ,
Foreign Corrupt Practices Act (FCPA) ,
Foreign Official ,
Fraud ,
Internal Investigations ,
Internships ,
Money Laundering ,
Nuclear Power ,
Private Placements ,
Regulation D ,
Rule 506(c) ,
Russia ,
SAP America Inc. ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Software ,
Sovereign Wealth Funds ,
Whistleblowers ,
Willful Misconduct