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2. Building a better insider trading compliance program.

Author

Lanin, Ari B. and Stolman, Daniela L.

Subjects
Regulatory compliance -- Laws, regulations and rules, Disclosure (Securities law) -- Laws, regulations and rules, Insider trading in securities -- Laws, regulations and rules, Government regulation
Abstract

With the increasing number of insider trading investigations and enforcement actions, companies carefully should review and strengthen their insider trading compliance programs. They should consider such issues as: what types [...]

Published
2011

3. Planning for Electronic Filing and Website Posting of Section 16(a) Reports

Author

Mueller, Ronald, Lane, Brian, Goodman, Amy, Eigenbrodt, Stanton, Ising, Elizabeth, and Lanin, Ari

Subjects
United States. Securities and Exchange Commission -- Laws, regulations and rules, Electronic filing -- Laws, regulations and rules, Government regulation, Business, international, Securities Exchange Act
Abstract

By Ronald Mueller, Brian Lane, Amy Goodman, Stanton Eigenbrodt, Elizabeth Ising and Ari Lanin. On May 7, 2003, the Securities and Exchange Commission (the oSECo) published final rules under Section [...]

Published
2003

4. SELECTED RECENT DEVELOPMENTS IN U.S. SECURITIES LAWS AND CORPORATE FINANCE, AS OF AUGUST 24, 2012.

Author

Olson, John F., Dickey, Jonathan C., Glover, Stephen I., Lane, Brian J., Weirick, Bradford P., Mueller, Ronald O., Calfas, Scott J., Goodman, Amy L., Moloney, James J., Collins, Paul J., McPhee, Gillian, Wardle, Peter W., Lanin, Ari B., and Ising, Elizabeth

Abstract

The article discusses the changes implement by the U.S. Securities and Exchange Commission (SEC) regarding the federal securities laws and corporate finance. It mentions the acts which include the Dodd-Frank Wall Street Reform and Consumer Protection Act and the Sarbanes-Oxley Act of 2002. It mentions the areas in which changes have been implemented which include executive compensations, corporate governance and the provisions regarding the disclosure of securities.

Published
2012

5. SELECTED RECENT DEVELOPMENTS IN U.S. SECURITIES LAWS AND CORPORATE FINANCE.

Author

Olson, John F., Dickey, Jonathan C., Glover, Stephen I., Lane, Brian J., Weirick, Bradford P., Mueller, Ronald O., Calfas, Scott J., Goodman, Amy L., Moloney, James J., Collins, Paul J., McPhee, Gillian, Wardle, Peter W., Lanin, Ari B., and Ising, Elizabeth

Abstract

The article discusses recent developments in U.S. securities laws and corporate finance. On July 21, 2010, President Barack Obama signed into law the Dodd-Frank Act, which affects the financial services industry and all public companies. The Dodd-Frank Act imposes requirements related to executive compensation and enhances compensation disclosure obligations. On March 30, 2011, the Securities & Exchange Commission (SEC) voted to propose rules implementing Section 952 of the Dodd-Frank Act.

Published
2011

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