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|All Whistleblowers, Listen Up! Seven Figure Chump Change Or Eight-Figure Bonanza, What Will It Be?|
James B. Tucker; Butler Snow LLP;
December 15, 2014, previously published on October 14, 2014Several events happened in the last few months to inspire conversation about whistleblowers. First, on July 30, 2014, “National Whistleblower Appreciation Day” was observed for the second year in row by declaration of Congress. Second, on September 17, 2014, AG Holder criticized a...
|Three Observations From the SEC’s Settlements with Thirteen Municipal Dealers Over Below-Denomination Sales of Puerto Rico Bonds|
Mintz Levin Cohn Ferris Glovsky Popeo P.C.;
November 17, 2014, previously published on November 5, 2014On November 3, 2014, the SEC announced settlements with thirteen different registered municipal securities dealers in connection with sales of non-investment grade bonds issued by Puerto Rico in 2014.
|ISS to Introduce QuickScore 3.0 on Friday: New Governance Factors Previewed; Details to be Published on October 31; Data Verification Period to Follow Through November 14|
Francis J. Aquila, Robert Buckholz, Catherine M. Clarkin, Jay Clayton, Audra D. Cohen; Sullivan & Cromwell LLP;
November 14, 2014, previously published on October 27, 2014Institutional Shareholder Services, the proxy advisory firm, has announced that it will publish the details of an update to its QuickScore corporate governance rating system, styled as “QuickScore 3.0,” this Friday, October 31, including several new governance factors that will apply to...
|US FCC Enforcement Action Represents Unprecedented Expansion of the Agency’s Authority Over Data Security|
Lei Shen, Howard W. Waltzman; Mayer Brown LLP;
November 14, 2014, previously published on October 28, 2014The US Federal Communications Commission (FCC) is asserting unprecedented authority to regulate data security matters with its recent action against two telecommunications carriers for failing to protect customers’ personal information from unauthorized disclosure. The FCC issued a Notice of...
|District Court Dismisses State Parties’ Challenge to SEC Rule 206(4)-5|
Matthew Bobys, Kenneth A. Gross, Ki P. Hong, Melissa L. Miles, Patricia M. Zweibel; Skadden, Arps, Slate, Meagher & Flom LLP;
October 22, 2014, previously published on October 8, 2014On September 30, 2014, Judge Beryl A. Howell of the U.S. District Court for the District of Columbia dismissed a challenge to the Securities and Exchange Commission's (SEC) Rule 206(4)-5 (Rule) for lack of subject matter jurisdiction. The court found that jurisdiction for review of the Rule lies...
|ISS Proposes 2015 Policy Updates: No Proposal on Unilateral Bylaw Amendments; U.S. Policy Changes Would Introduce Uncertainty for Independent Chair Shareholder Proposals and Implement a Scorecard for Equity Plan Proposals|
Sullivan Cromwell LLP;
October 19, 2014, previously published on October 16, 2014Yesterday, Institutional Shareholder Services, the proxy advisory firm, published proposed changes to its proxy voting guidelines for the 2015 proxy season. The proposals applicable to U.S. companies are limited and do not include any proposed change relating to unilateral bylaw amendments. ISS had...
|"Pay To Play" Rule Proposed for Municipal Advisors|
J. Andrew Gipson; Jones Walker LLP;
September 16, 2014, previously published on September 4, 2014On August 18, 2014, the Municipal Securities Rulemaking Board ("MSRB") issued a request for comment on proposed rule amendments expanding application of Rule G-37, its "pay to play" rule, to municipal advisors and municipal advisor third-party solicitors. The request for comment...
|Persons Registered as Municipal Advisers Face SEC Examination Program|
Peter D. Fetzer, Jason M. Hille, Terry D. Nelson; Foley & Lardner LLP;
September 2, 2014, previously published on August 29, 2014The SEC recently announced that its Office of Compliance Inspections and Examinations (“OCIE”) will shortly commence an examination program of registered municipal advisers. The examination program will be phased in over the next few years. The focus of the examinations will be certain...
|Board Members Beware: The SEC is Watching|
James J. Giszczak, Dominic A. Paluzzi, Adam C. Smith; McDonald Hopkins LLC;
August 28, 2014, previously published on August 22, 2014Data breaches have increased dramatically. In fact, according to a 2014 Internet security threat report published by Symantec, data breaches increased in 2013 by 62 percent. Therefore, it is not surprising that the Securities and Exchange (SEC) Commissioner, Luis A. Aguilar, recently addressed what...
|Florida Legislature Relaxes Agency Licensing Requirements for Broker-Dealer Branch Offices Selling Insurance Products but Creates New Disclosure Requirements for Surrenders|
Eric A. Arnold, Clifford E. Kirsch, Michael B. Koffler, Susan S. Krawczyk, Holly H. Smith; Sutherland Asbill & Brennan LLP;
August 27, 2014, previously published on August 25, 2014Under current Florida insurance laws, branch offices of broker-dealers selling insurance products in Florida are required to either “license” or “register” as agency branches (in addition to satisfying insurance producer licensing requirements). However, Florida recently...