Searching Content indexed under Finance and Banking by William McLucas ordered by Published Date Descending.
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Recent Insider Trading Decision
On December 10, the US Court of Appeals for the Second Circuit issued an opinion in United States v. Newman that could be the most consequential insider trading decision in a generation, but for reasons that virtually no one anticipated.
United States
29 Dec 2014
Attorneys Caught In The Ethical Crosshairs: Secretkeepers As Bounty Hunters
Imagine you are counsel to a public company and are tasked with reviewing its annual 10-K. In the course of your review, you confer with a number of individuals in the finance and accounting functions and they report that a significant number of post-close adjustments were made at year end and these adjustments ..
United States
15 Apr 2014
The Top 10 SEC Enforcement Events Of 2011
2011 was an eventful year for the Division of Enforcement at the U.S. Securities and Exchange Commission ("SEC"). Our assessment of the top ten SEC Enforcement events of 2011 is discussed below.
United States
18 Jan 2012
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
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