Rikard Lundberg

Brownstein Hyatt Farber Schreck

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SEC Settles Charges for Violation of Whistleblower Program’s Prohibition of Impediments to Communications Regarding Possible...

On August 10, 2016, the Securities and Exchange Commission (SEC) announced a settlement with BlueLinx Holdings Inc. concerning alleged violations of the Dodd-Frank Whistleblower Program’s prohibition on impeding whistleblower...more

8/15/2016 / Confidential Information , Dodd-Frank , Enforcement Actions , Securities and Exchange Commission (SEC) , Severance Agreements , Whistleblowers

SEC Announces First Enforcement Action Involving Restrictive Language in Confidentiality Agreement under Dodd-Frank Whistleblower...

On April 1, 2015, the Securities and Exchange Commission (SEC) announced its first enforcement action involving restrictive language in an employee confidentiality agreement that it contends has “the potential to stifle the...more

4/6/2015 / Confidentiality Agreements , Dodd-Frank , Enforcement Actions , KBR (formerly Kellogg Brown & Root) , Securities and Exchange Commission (SEC) , Whistleblower Protection Policies , Whistleblowers

Reminder to NYSE and NASDAQ Companies to Comply with Dodd-Frank Act Compensation Committee Requirements and Certify Compliance

Public companies with securities listed on the NASDAQ Stock Market or the New York Stock Exchange should take note of the approaching deadline for complying with the final portions of the new compensation committee...more

10/14/2014 / Compliance , Dodd-Frank , Nasdaq , NYSE , Securities and Exchange Commission (SEC) , Securities Exchange Act

The SEC Adopts Rules to Allow General Solicitation in Rule 506 and Rule 144A Offerings, Adopts Rules Prohibiting “bad actors” From...

On July 10, 2013, the Securities and Exchange Commission (the “SEC”) adopted amendments to important rules used to offer securities in private placements: - The SEC adopted new Rule 506(c) of Regulation D to permit...more

7/15/2013 / Advertising , Dodd-Frank , General Solicitation , JOBS Act , Marketing , Regulation D , Rule 144A , Rule 506 Offerings , Securities and Exchange Commission (SEC)

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