As we discussed in our June 2011 Bulletin, available here, SEC rules promulgated under the Securities Exchange Act of 1934, as amended (Exchange Act), pursuant to Section 21F thereunder as enacted by the Dodd-Frank Wall...more
10/3/2016
/ Anti-Retaliation Provisions ,
Disclosure Requirements ,
Dodd-Frank ,
Enforcement Actions ,
Fines ,
KBR (formerly Kellogg Brown & Root) ,
Merrill Lynch ,
Rule 21F ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Severance Agreements ,
Whistleblowers
There was not a lot of Securities and Exchange Commission (SEC) activity this past Spring and Summer that was directly relevant to most small and medium-sized SEC reporting companies, with the SEC focusing on credit ratings...more