The SEC’s Office of the Whistleblower’s top priority going into 2016 will be to assess company confidentiality agreements for compliance with Rule 21-F-17(a). Rule 21F-17(a) provides that no person may
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Whistleblower Tips Rise Again in 2015
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The Securities and Exchange Commission released its 2015 Annual Report on its Whistleblower Program this week and announced another rise in the number of whistleblower tips that it received. The…
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FINRA Enforcement in the First-Half of 2015
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Last month, Sutherland Asbill & Brennan published data revealing FINRA’s first-half fine total for 2015. The good news: FINRA’s $37.5 million in first-half 2015 fines is down from $42.4…
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SEC Reduces Registration Statement Filing Fees Again
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Last week, the Securities and Exchange Commission announced that effective October 1, 2015, filing fees that public companies and other issuers pay to register their securities with the Commission will…
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FINRA’s New EB-5 Disclosure Requirements re: Foreign Finders
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New FINRA Rule 2040 became effective late last month, requiring broker-dealers who sell EB-5 securities disclose to investors the amount of finder fee payments to non-registered foreign persons and receive…
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SEC Cracks Down on Compliance and Surveillance Failures
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Earlier this week, the Securities and Exchange Commission agreed to settle charges with a company related to prevention and detection of potential insider trading. The SEC alleged that the company…
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CEO-Pay Ratio Rule Adopted by the SEC
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As we predicted last month, the Securities and Exchange Commission adopted a final rule that requires a public company to disclose the ratio of the compensation of its CEO…
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FINRA Election Results: Shaken, not Stirred
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The FINRA Board of Governors election results are in. There were three vacancies among the 10 seats reserved for industry representatives: one Large, one Mid-Size, and one Small Firm Governor. …
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A Look Ahead: SEC to Adopt CEO-Pay Ratio Rule?
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According to Andrew Ackerman and Joann Lublin of the Wall Street Journal, the Securities and Exchange Commission is “poised to complete a rule requiring companies to disclose the pay…
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FINRA Board Shake-up Coming?
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Later this month, on July 30th, FINRA will hold its annual meeting in Washington, D.C., during which it will conduct an election for three open seats on its Board of…
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