Financial Institutions Client Alerts
Small Business Securities Bulletin - SEC Approves Nasdaq Rule Addressing Compensation Committees, Consultants
February 2013
By: Penny Somer-Greif Small Business Securities Bulletin - Smaller Reporting Companies Become Subject to Say-on-Pay in 2013; New Iran/Terrorism Reporting
February 2013
By: Penny Somer-Greif Small Business Securities Bulletin - Regulation FD Update
February 2013
By: Penny Somer-Greif Small Business Securities Bulletin- Nasdaq Proposes Rule Addressing Compensation Committee Independence, Smaller Reporting Company Exemptions
October 2012
By: Penny Somer-Greif Small Business Securities Bulletin - SEC Proposes Rule to Eliminate Prohibition on General Solicitation and Advertising in Rule 506 Private Offerings
September 2012
By: Penny Somer-Greif Small Business Securities Bulletin - PCAOB Adopts Guidance for Audit Committees on PCAOB Inspection Process
August 2012
By: Penny Somer-Greif Small Business Securities Bulletin - PCAOB Adopts New Auditing Standard No. 16 - Communications with Audit Committees
August 2012
By: Penny Somer-Greif Small Business Securities Bulletin - SEC Adopts Final Rules on Listing Standards for Compensation Committees and Compensation Adviser Disclosure, Exempts Smaller Reporting Companies
June 2012
By: Penny Somer-Greif Small Business Securities Bulletin - Impact of the JOBS Act on Public Companies
April 2012 (No. I)
By: Penny Somer-Greif Small Business Securities Bulletin - Impact of the JOBS Act on Private Companies
April 2012 (No. II)
By: Penny Somer-Greif Small Business Securities Bulletin - SEC’s Final Rule Adopting Revised Accredited Investor Definition
January 2012
By: Penny Somer-Greif Small Business Securities Bulletin - Recent SEC Enforcement Cases Against Bank Holding Company, Private Company
January 2012
By: Penny Somer-Greif Nonprofits Alert: Can an Effective Whistleblower Policy Prevent Misconduct?
December 2011
By: Virginia B. Evans* Small Business Securities Bulletin - SEC’s Division of Corporation Finance Issues Guidance on Disclosure of Cybersecurity Risks and Cyber Incidents
October 2011
By: Penny Somer-Greif Small Business Securities Bulletin - DC Circuit Strikes Down SEC's Proxy Access Rule
October 2011
By: Penny Somer-Greif Small Business Securities Bulletin - SEC Proposes “Bad Actor” Disqualifications for Rule 506 Private Placements
June 2011 (No. II)
By: Penny Somer-Greif Small Business Securities Bulletin - Reminder: XBRL Compliance Deadline Fast Approaching
June 2011 (No. II)
By: Penny Somer-Greif Small Business Securities Bulletin - SEC Adopts Rules Implementing the Whistleblower Provisions of Dodd-Frank
June 2011
By: Penny Somer-Greif Let the Banker Beware: Top Ten Issues for Selling REO
April 4, 2011
By: Robert E. Scher Small Business Securities Bulletin - SEC Enforcement Case for Failure to Disclose Perks
February 2011
By: Penny Somer-Greif Small Business Securities Bulletin - SEC Proposes Revision to Accredited Investor Definition
February 2011
By: Penny Somer-Greif Small Business Securities Bulletin: Recent Case is a Reminder to Ensure your Regulation FD Compliance Programs are Current
December 2010
By: Penny Somer-Greif Small Business Securities Bulletin: SEC Proposes Rules Implementing the Whistleblower Provisions of Dodd-Frank
November 2010 (No. II)
By: Penny Somer-Greif Small Business Securities Bulletin: SEC’s Proposed Say on Pay Rules
November 2010
By: Penny Somer-Greif Small Business Securities Bulletin: SEC Guidance on Liquidity and Funding Risks
October 2010 (No. II)
By: Penny Somer-Greif Small Business Securities Bulletin: SEC Schedule for Rules Implementing Dodd-Frank Provisions
October 2010
By: Penny Somer-Greif Small Business Securities Bulletin: Corporate and Securities Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
June 2010 (No. IV)
By: Penny Somer-Greif Small Business Securities Bulletin: Recent Case Emphasizes the Need to Include Well-Drafted Forward-Looking Statements Cautionary Language
June 2010 (No. III)
By: Penny Somer-Greif Banking Law Alert - Interagency Final Guidance on Incentive Compensation
June 23, 2010
By: Frank C. Bonaventure, Jr. and Penny Somer-Greif Small Business Securities Bulletin: Pending Amendments to the Federal Sentencing Guidelines - Why Now is a Good Time to Review Your Corporate Compliance and Ethics Program
June 2010 (No. II)
By: Penny Somer-Greif Small Business Securities Bulletin: Corporate and Securities Provisions of the Senate's Final "Restoring American Financial Stability Act of 2010"; Recent Regulation FD SEC Enforcement Action
June 2010 (No. I)
By: Penny Somer-Greif Small Business Securities Bulletin: Securities and Corporate Governance Provisions of the "Restoring American Financial Stability Act of 2010"; Returning Oversight of Rule 506 Offerings to the States; Corporate Governance Provisions
April 2010
By: Penny Somer-Greif Small Business Securities Bulletin: Revisions to the Notice and Access Model for Proxy Materials Adopted
March 2010
By: Penny Somer-Greif Small Business Securities Bulletin: SEC Interpretive Release Regarding Disclosure About Climate Change
March 2010
By: Penny Somer-Greif Small Business Securities Bulletin: Corp. Fin CDIs on New Proxy Disclosure Requirements
February 2010
By: Penny Somer-Greif Small Business Securities Bulletin:Say-on-Pay for TARP Recipients – No Preliminary Proxy Filing Required
February 2010
By: Penny Somer-Greif Small Business Securities Bulletin: Proposed Revisions to Rule 10b-18 Regarding Issuer Repurchases
February 2010
By: Penny Somer-Greif Small Business Securities Bulletin: Proposed Revisions to the Notice and Access Model for Proxy Materials
November 2009
By: Penny Somer-Greif Small Business Securities Bulletin: New SEC FrameWork for Evaluating Certain Stockholder Proposals
November 2009
By: Penny Somer-Greif Small Business Securities Bulletin: More on Sox 404(b) With Respect to Smaller Public Companies
November 2009
By: Penny Somer-Greif Banking Law Alert - Federal Reserve Releases Proposed Incentive Compensation Guidance and Announces Supervisory Initiative
October 23, 2009
By: Penny Somer-Greif and Frank C. Bonaventure, Jr. Banking Law Alert - Update: The Consumer Financial Protection Agency Act of 2009
October 8, 2009
By: Frank C. Bonaventure, Jr. and Penny Somer-Greif Small Business Securities Bulletin: SEC Regulation FD Enforcement Action
October 2009
By: Penny Somer-Greif Small Business Securities Bulletin: SOX Auditor Attestation Requirement Delayed for Smaller Reporting Companies; Proxy Access Will Not Be Applicable for 2010 Proxy Season
October 2009
By: Penny Somer-Greif Small Business Securities Bulletin: SEC Proposes Rules to Strengthen Oversight of Credit Rating Agencies
October 2009
By: Penny Somer-Greif Banking Law Alert: The Consumer Financial Protection Agency Act of 2009
September 8, 2009
By: Penny Somer-Greif and Frank C. Bonaventure, Jr. Small Business Securities Bulletin: House Passes "Say-on-Pay" Legislation
August/September 2009
By: Penny Somer-Greif Small Business Securities Bulletin: Update: The SEC's Proposed Proxy Statement Disclosure Amendments
August/September 2009
By: Penny Somer-Greif Cuomo v. Clearing House Association, L.L.C., et. al., Supreme Court Holds Invalid the OCC's Prohibition of State Enforcement of Applicable State Laws; States May Bring Judicial Enforcement Actions Against National Banks
July 2, 2009
By: Penny Somer-Greif and Frank C. Bonaventure, Jr. Small Business Securities Bulletin: Treasury's Financial Regulatory Reform White Paper
July 2009 #1
By: Penny Somer-Greif Small Business Securities Bulletin: Proxy Access and Stockholder Proposals Regarding Director Nomination Procedures; More SEC Disclosure Requirements on the Horizon; Legislative Developments; Other Executive Compensation Developments
July 2009
By: Penny Somer-Greif Treasury Issues TARP Standards for Compensation and Corporate Governance
June 17, 2009
By: Penny Somer-Greif and Frank C. Bonaventure, Jr. Small Business Securities Bulletin
June 2009
By: Penny Somer-Greif Small Business Securities Bulletin: Proxy Access and Stockholder
June 2009
By: Penny Somer-Greif Small Business Securities Bulletin: More SEC Disclosure Requirements on the Horizon
June 2009
By: Penny Somer-Greif Small Business Securities Bulletin: Legislative Developments
June 2009
By: Penny Somer-Greif Small Business Securities Bulletin: Other Executive Compensation Developments
June 2009
By: Penny Somer-Greif Mandated Electronic Filing of Form D; Revisions to Form D
February 28, 2008
By: Penny Somer-Greif and Frank C. Bonaventure, Jr. Revisions to Registration Statements on Forms S-3 and F-3 to Allow Their Use by Companies with Less than $75 Million Public Float
February 1, 2008
By: Penny Somer-Greif and Frank C. Bonaventure, Jr. SEC Adopts New Requirements With Respect to Modernization of Smaller Company Capital-Raising and Disclosure Requirements
December 3, 2007
By: Penny Somer-Greif and Frank C. Bonaventure, Jr. SEC Proposed Extension of Compliance Dates for Reporting on Internal Control Over Financial Reporting
August 1, 2006
By: Frank C. Bonaventure, Jr. and Penny Somer-Greif COSO Guidance for Smaller Companies
August 1, 2006
By: Frank C. Bonaventure, Jr. and Penny Somer-Greif |
