BNA Insights: A World of Whistleblowers: What Companies Should Know About Dealing With Third Parties Going Forward

The new United States whistleblower program is global in scope and provides incentives to a broad array of individuals. The new rules incentivize a much wider array of individuals than merely corporate insiders to become watchguards of corporate compliance with federal securities laws…

BNA INSIGHTS: The ‘Conflict Minerals’ Law Will Impose New Supply Chain Challenges for Companies: Who, What, and When

Even as global supply chains become ever more byzantine, a new US law and proposed implementing rule of the US SEC will add another wrinkle…

Court Vacates SEC’s Proxy Access Rule on Basis of Inadequate Economic Analysis

In yet another blow to the Securities and Exchange Commission’s rulemaking efforts, the U.S. Court of Appeals for the District of Columbia Circuit July 22 struck down the agency’s proxy access rule, saying it acted arbitrarily by failing adequately to assess the regulation’s economic impact…

SEC Proposes New Listing Standards for Pay Committees; Asset-Backed Securities Risk Retention Rule

The Securities and Exchange Commission March 30 unanimously proposed to require that national securities exchanges adopt certain listing standards with respect to corporate board compensation committees and compensation advisers…

SEC Adopts Say-on-Pay Requirements, Proposes ‘Accredited Investor’ Amendment

A divided Securities and Exchange Commission Jan. 25 voted 3-2 to adopt a new rule to implement provisions in the financial reform legislation that provide shareholders with advisory votes on…

OUTLOOK 2011: Tough Times Ahead for SEC Implementation of Dodd-Frank Regulatory Agenda

The Securities and Exchange Commission is facing a challenging year ahead in terms of rulemaking, with a heavy agenda largely set by Congress in the 2010 reform law that includes new, as well as old complex issues that must be tackled under unexpected budget constraints, tighter deadlines, and…

BNA INSIGHTS: Whistleblowers and the Resurgence of Internal Investigations

Many companies have come to doubt the value of cooperating with the Securities and Exchange Commission by self-reporting possible violations of the securities laws. As statistics show, while companies that self-report to the SEC arguably may receive some leniency in terms of sanctions, the vast majority are still rewarded with a black eye—they are named in SEC Enforcement actions. 1 The SEC’s recent case charging Bank of America, which had self-reported the facts, with securities law violations in…

BNA INSIGHTS: The Corporate Board’s Role in Internal Investigations

The recent resignation of Hewlett-Packard CEO Mark Hurd in the midst of an investigation by the company’s board of directors into sexual harassment allegations against him has again put corporate board investigations in the…

Proxy Access Case Briefing Schedule Indicates New Rules Will Not Apply in 2011

The U.S. Court of Appeals for the District of Columbia Circuit Oct. 14 approved a previous hitbriefingnext hit previous hitschedulenext hit in litigation over the…

SEC Publishes Proposals to Implement Dodd-Frank’s Compensation Provisions

The Securities and Exchange Commission Oct. 18 proposed rules to implement the Dodd-Frank Wall Street Reform and Consumer Protection Act’s provisions for…

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