Tag: Dodd Frank

The Commission continues to pursue its strict liability policy regarding the application of Section 304 of the Sarbanes Oxley Act. Under that Section the CEO and CFO can be required to repay certain incentive based compensation they receive if there …

THE SEC CONTINUES ITS STRICT LIABILITY APPROACH TO SOX 304 Read More »

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Congress reviewed the implementation of Dodd-Frank, hearing testimony from the SEC Chairman and others. The Commission, along with other agencies and the Fed also submitted a report on risk management to Senate and House Committees pursuant to Dodd-Frank. In what …

THIS WEEK IN SECURITIES LITIGATION (July 22, 2011) Read More »

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