Searching Content indexed under Finance and Banking by Thomas W. White ordered by Published Date Descending.
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Regulators Discuss Accounting And Auditing Developments At 2016 AICPA Conference
This year's American Institute of Certified Public Accountants Conference on SEC and PCAOB Developments, held on December 5-7, echoed several themes from prior AICPA conferences.
United States
20 Dec 2016
The Trump Administration—Change And Continuity In Securities Regulation
The election of Donald Trump as the next President and the continued Republican control of Congress raise questions as to what changes may be expected at the SEC and what may stay the same.
United States
6 Dec 2016
United States
15 Jul 2013
Focus On Audit Committees, Accounting and the Law
Companies that use derivatives should note that the Dodd-Frank Act's sweeping new derivatives provisions are beginning to be implemented
United States
10 Jan 2013
The New Swaps Regime: A Primer For Nonfinancial Companies
More than two years after enactment, the Dodd-Frank Act’s sweeping new derivatives provisions are beginning to be implemented.
United States
10 Jan 2013
UPDATE: Lower Courts Interpret The Supreme Court's Decision In Janus Capital Group, Inc. v. First Derivative Traders
Last summer, the Supreme Court held in Janus Capital Group, Inc. v. First Derivative Traders, Inc. that a defendant may only be held be liable for securities fraud in a private action brought under Rule 10b-5(b) of the Securities Exchange Act of 1934 if it was the "maker" of a misstatement.
United States
12 Apr 2012
CFTC And SEC Whistleblower Bounties: Largely Similar But Important Differences Remain
On Thursday, August 4, 2011, the Commodity Futures Trading Commission adopted final rules implementing the commodity whistleblower incentives and protections of Section 748 of the Dodd-Frank Act.
United States
23 Aug 2011
SEC Whistleblower Bounties: 10 Things Companies Can Do Right Now To Stay Ahead
Under the Securities and Exchange Commission's new whistleblower program, individuals who report potential securities violations to the SEC may be entitled to a reward of between 10 and 30 percent of any monetary recovery exceeding $1 million.
United States
10 Aug 2011
Supreme Court Curtails Ability Of Plaintiffs To Hold Secondary Actors Liable In Private Securities Fraud Actions
On June 13, 2011, mutual fund companies and "secondary actors" in the securities markets scored a major victory when the US Supreme Court ruled that aggrieved shareholders may seek relief under the securities laws only from the party with "ultimate authority" over a false statement.
United States
5 Jul 2011
SEC Approves Sweeping Whistleblower Bounty
On Wednesday, May 25, 2011, the Securities and Exchange Commission issued its long-awaited final rules implementing the "Securities Whistleblower Incentives and Protection" provisions of the Dodd-Frank Act.
United States
1 Jun 2011
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