CompanyCounselor: SEC Archives

SEC Archives

Mar19	Audio Replay Linda Chan March 19, 2008 Know More: SEC SEC, securities generally The following is not meant to be legal advice. How long does a public company need to keep audio replays of its conference calls on its web site? According to a Forbes.com study of 30 Dow Jones Industrial Average companies... Continue Reading Posted at 9:56 PM \| Permalink \| Comments
Jan19	eProxy Rules Linda Chan January 19, 2008 The following is not meant to be legal advice. The Securities and Exchange Commission adopted an amendment to its proxy statement rules announced in July 2007. Large accelerated filers must comply with the amendments for all proxy solicitations beginning on or... Continue Reading Posted at 6:35 PM \| Permalink \| Comments
Sep12	Insider Trading Scandals Linda Chan September 12, 2007 The following is not meant to be legal advice. In the 1980s, there were many reported insider trading scandals. The admired like Michael Milken and Ivan Boesky ended up in jail or fined for misbehaviors. The movie Wall Street popularized... Continue Reading Posted at 10:31 AM \| Permalink \| Comments
Aug30	Rule 144 Linda Chan August 30, 2007 The following is not meant to be legal advice. Rule 144 relates to the resale of restricted stock. Restricted stock is usually issued while a company is still private. For instance, an engineer joining a startup may get some options... Continue Reading Posted at 7:45 PM \| Permalink \| Comments
Aug29	Public Company Reports Linda Chan August 29, 2007 The following is not meant to be legal advice. For the attorney first going into finance, he may be interested to read up on the types of public filings a public company needs to make. The Wilson Sonsini Goodrich Rosati,... Continue Reading Posted at 7:44 PM \| Permalink \| Comments
	Section 404 Linda Chan August 29, 2007 The following is not meant to be legal advice. Section 404 requires adoption of internal controls. Section 404 requires the development of internal controls over financial reporting. Section 404 has been required since the enactment of the Foreign Corrupt Practices Act,... Continue Reading Posted at 7:41 PM \| Permalink \| Comments
	Section 302 Internet Delivery of Proxy Materials Credit Suisse Securities (USA) LLC v. Billing Research on Insider Trading Capital Formation Tellabs, Inc. et al. v. Makor Issues & Rights, Ltd., et al. Form 10-Q What Are 10b5-1 Trading Plans Professor Alan Jagolinzer Compensation Discussion and Analysis and Form 10-Q IPO Handbook Proxy Statement Year-End and Quarterly Reporting Disclosure of Share-Based Executive Compensation SEC Enforcement History of Financial Reporting Balance Sheet Classification of Shares and Warrants Executive Compensation Disclosure The Latest on Stock Options Accounting Fraud by Fannie Mae Nets $400 Million Penalty SEC Brings First-Ever Enforcement Action Under USA Patriot Act SEC refuses to exempt small companies from SOX's § 404 Stock Option Grants Chamber of Commerce Scores Another Victory Over SEC SEC Announces Settlement with Tyco International SEC Charges Former & Current Goldman Sachs Employee with Insider Trading SEC & CFTC Announce Proposed Rules on Trading Futures on Debt Security Index Contracts SEC Settles with Bear Stearns Today at the SEC Posts of the Day for Corporate Counsel SEC's Advisory Committee on Smaller Public Companies Soliciting Comments on Draft of Final Report SEC Prosecutes China-based Internet Company Executive Compensation News

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