Year: 2010

THIS WEEK IN SECURITIES LITIGATION (October 8, 2010)

Regulators from six agencies including the SEC appeared on Thursday before the Senate Banking Committee to detail their plans for implementing Dodd-Frank. SEC Chairman Mary Shapiro told the Committee that the Commission has more than 100 rule-making provisions, 20 studies

THE SECOND CIRCUIT BOLSTERS THE SEC’S VIEW OF SOX 304

The Section 304 of Sarbanes Oxley requires the CEO and CFO to repay certain incentive compensation in the event there is a restatement of the company’s financial statements based on wrongful conduct. Few court decisions have construed the Section. The

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