Bob Greifeld, President and CEO of Nasdaq, called for a small issuer exemption from SOX in an article published today. Specifically, Mr Greifeld urged that the proposal recommended by the SEC’s Advisory Committee on Smaller Public Companies be adopted. Under …

Nasdaq CEO Calls For Sox Exemption Read More »

Following the announcement by Chairman Cox that the agency would withdraw subpoenas previously issued to journalists, the SEC announced that it would write a policy to determine when the issuance of such subpoenas is appropriate. This is a welcome clarification …

SEC to Issue Policy Governing Subpoenas to Journalists Read More »