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By Kit Addleman, Tracy Smith
You and your company might have forgotten about Regulation Fair Disclosure (Regulation FD) but the Securities and Exchange Commission (SEC) has not.
By Kit Addleman
The Securities and Exchange Commission has focused on public companies and their officers, directors, and employees since the creation of the federal securities laws.
By Kit Addleman
In an action filed February 28, 2011, the Securities and Exchange Commission (SEC) charged three outside directors of a public company with securities fraud based on their alleged failures to fulfill their roles and responsibilities as Board members.
By Eden Rohrer
A Florida court has rejected the Securities and Exchange Commission’s single-factor transaction-based compensation test for broker activity, perhaps signaling a more favorable view toward "finders" in the future.
By Kit Addleman
The Securities and Exchange Commission has focused on public companies and their officers, directors, and employees since the creation of the federal securities laws.
By James Brashear
On August 1, 2008, the Securities and Exchange Commission (the "SEC") issued an interpretive release ("Website Release") about disclosing on your company website information that is subject to the federal securities laws.