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 …

THIS WEEK IN SECURITIES LITIGATION (October 8, 2010) Read More »

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 …

THE SECOND CIRCUIT BOLSTERS THE SEC’S VIEW OF SOX 304 Read More »