Elizabeth A. Marino

First Circuit Limits Breadth of Whistleblower Protection Provision Under Sarbanes-Oxley Act of 2002
David C. Boch,Elizabeth A. Marino, March 8, 2012
The United States Court of Appeals for the First Circuit (“First Circuit”) recently held that Section 806 (the “whistleblower protection provisions”) of Sarbanes-Oxley Act of 2002 (“SOX”) covers only employees of public companies and not employees of private...

SEC Proposes Financial Reporting Amendments for Broker-Dealers and Adoption of New Form Custody
W. Hardy Callcott,Elizabeth A. Marino,Timothy B. Nagy, June 29, 2011
On June 15, 2011, the U.S. Securities and Exchange Commission proposed amendments to the broker-dealer financial reporting rules that would require broker-dealers to file a new Form Custody on a quarterly basis, amend the broker-dealer annual financial reporting rule, and require broker-dealers to...