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Browse Disclosure (Securities law) topic

Laws, regulations and rules subtopic

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1-190 out of 190 article(s)
Title Author Type Date Words
USING CYBERSECURITY FAILURES TO CRITIQUE THE SEC'S APPROACH TO CRYPTO REGULATION. Goforth, Carol R. Sep 22, 2020 20333
NEGATIVE ACTIVISM. Bliss, Barbara A.; Molk, Peter; Partnoy, Frank Jun 1, 2020 28843
Embrace the SEC. Rodrigues, Usha R. May 28, 2020 9239
Regulation by Selective Enforcement: The SEC and Initial Coin Offerings. Park, James J.; Park, Howard H. May 28, 2020 13980
FIDUCIARY BLIND SPOT: THE FAILURE OF INSTITUTIONAL INVESTORS TO PREVENT THE ILLEGITIMATE USE OF WORKING AMERICANS' SAVINGS FOR CORPORATE POLITICAL SPENDING. Strine, Leo E., Jr. Apr 1, 2020 20582
KNOWLEDGE AND POWER IN MEASURING THE SUSTAINABLE CORPORATION: STOCK EXCHANGES AS REGULATORS OF ESG FACTORS DISCLOSURE. Fornasari, Federico Mar 22, 2020 25308
Should the CEO Pay Ratio be Regulated? Anginer, Deniz; Liu, Jinjing; Schipani, Cindy A.; Seyhun, H. Nejat Jan 1, 2020 21799
Securities & Exchange Commission vs. Elon Musk & the First Amendment. Markham, Jerry W. Dec 22, 2019 17341
SEC penalizes Gonzales group amid Medical City row. Nov 26, 2019 355
A PRACTICE WORTH ENDING: EPS GUIDANCE HARMING LONG-TERM GROWTH. Millet, Rachel G. Nov 1, 2019 13070
CECL isn't just for banks anymore: Revised financial instruments standards that impact all industries and apply to a broad range of financial assets have begun to take effect. Mishler, Mark D. Nov 1, 2019 2930
DAZED AND CONFUSED: REVAMPING THE SEC'S UNPREDICTABLE CALCULATION OF CIVIL PENALTIES IN THE TECHNOLOGICAL ERA. Liebmann, Samuel N. Nov 1, 2019 15304
SEC Proposes Rules to Update Statistical Disclosures for Banking Registrants. Sep 19, 2019 481
SEC Proposes Rules to Update Statistical Disclosures for Banking Registrants. Sep 18, 2019 481
SEC Proposes Rules to Update Statistical Disclosures for Banking Registrants. Sep 17, 2019 539
INNOVATION IN DISCLOSURE-BASED SHAREHOLDER SUITS. Griffith, Sean J. Jun 22, 2019 11680
SEC ISSUES 300-PLUS-PAGE DISCLOSURE REFORM RULE. Barlas, Stephen Brief article Nov 1, 2018 250
Lesson from Yahoo! case: Heed disclosure requirements. Floyd, Joseph J. Sep 14, 2018 1475
THE DRAGON AND THE EAGLE: REFORMING CHINA'S SECURITIES IPO LAWS IN THE U.S. MODEL, PROS AND CONS. Cohn, Stuart R.; Yinzhi, Miao Mar 22, 2018 14718
THE EARLY EIGHT AND THE FUTURE OF CONSUMER LEGAL ACTIVISM TO FIGHT MODERN-DAY SLAVERY IN CORPORATE SUPPLY CHAINS. Barna, Andrew G. Mar 1, 2018 16119
SEC adopts statement and guidance on public company cybersecurity disclosures. Feb 21, 2018 182
FROM THE CLOSET TO THE BOARDROOM: REGULATING LGBT DIVERSITY ON CORPORATE BOARDS. Nourafshan, Alexander M. Dec 22, 2017 21177
Improving internal control over segment reporting: The principles of ASC Topic 280 pave the way toward meeting financial reporting objectives. Jiang, Xiaowen; Lin, Ling Nov 1, 2017 2803
Out of Sight, Out of Mind: The Case for Improving Director Independence Disclosure. Nili, Yaron Sep 22, 2017 21913
The "Reasonable Investor" of Federal Securities Law: Insights from Tort Law's "Reasonable Person" & Suggested Reforms. Rose, Amanda M. Sep 22, 2017 26301
LESS THAN TRANSPARENT: HOW CALIFORNIA'S EFFORT TO SHINE LIGHT ON MODERN SLAVERY MAY ULTIMATELY KEEP CONSUMERS IN THE DARK. Gutierrez, Julie A. Sep 22, 2017 10368
THE SHELL GAME: AN EASY HIDE-AND-GO-SEEK GAME FOR CRIMINALS AROUND THE WORLD. Martinez, Idelys Mar 22, 2017 13555
Regulating public offerings of truly new securities: first principles. Fox, Merritt B. Dec 1, 2016 9884
Regulating public offerings of truly new securities: first principles. Fox, Merritt B. Dec 1, 2016 13691
"We believe": Omnicare, legal risk disclosure and corporate governance. Sale, Hillary A.; Langevoort, Donald C. Dec 1, 2016 14284
Corporate governance in an era of compliance. Griffith, Sean J. May 1, 2016 5889
Corporate governance in an era of compliance. Griffith, Sean J. May 1, 2016 22042
The operational challenge of regulation AB II. Myers, Ned May 1, 2016 1464
The tale of internal control over financial reporting and the SECs "broken windows" policy. Afterman, Allan B. May 1, 2016 1404
Mandatory disclosure and individual investors: evidence from the JOBS Act. Honigsberg, Colleen; Jackson, Robert J., Jr.; Wong, Yu-Ting Forester Feb 1, 2016 15957
Investor participation in initial public offerings. Schwartz, Kyle J. Jan 1, 2016 12900
Crowdfunding & investor education: empowering investors to mitigate risk & prevent fraud. Friesz, Cody R. Jan 1, 2015 12109
The ERISA mystery: ERISA is a complex law and advisors are still confused about it. Giachetti, Thomas D. Nov 1, 2014 730
The SEC's regulation fair disclosure and social media: investigation of Netflix provides further guidance for corporate communications. Campbell, Katherine; Ellingson, Dee Ann; Notbohm, Matthew A.; Gaynor, Greg Nov 1, 2014 2881
SEC continues to warn U.S. businesses about risk of cyber attacks. Sep 25, 2014 982
Why Regulate Financial Markets The Underlying Rationale for Financial Regulation in the Wake of the Current Crisis. Jun 30, 2014 3987
Abandoning the 'mosaic theory': why the 'mosaic theory' of securities analysis constitutes illegal insider trading and what to do about it. Davidowitz, Aaron S. Jun 22, 2014 9719
Conflict minerals test trips up Sevcon. Cohan, Peter S. Jun 8, 2014 944
FINRA Sends Broker Bonus Plan to SEC for Approval. Mar 14, 2014 795
Insider trading via the corporation. Fried, Jesse M. Mar 1, 2014 16994
A shot in the dark: an analysis of the SEC's response to the rise of dark pools. Batista, Edwin Jan 1, 2014 16265
The best of both worlds: default fiduciary duties and contractual freedom in alternative business entities. Miller, Sandra K. Author abstract Jan 1, 2014 7672
The best of both worlds: default fiduciary duties and contractual freedom in alternative business entities. Miller, Sandra K. Jan 1, 2014 18212
Barriers, foreseen and unforeseen, face franchisors entering the U.S.: U.S. disclosure requirements may very well be the most complex of any country. Krakus, Beata Jan 1, 2014 1203
Stricter rules ahead for insider trading. Jan 1, 2014 382
Proposed Crowdfunding rules include disclosure requirements. Jan 1, 2014 438
The Credit Card Accountability Responsibility and Disclosure Act of 2009: providing consumer protection or financial bureaucracy? Lowe, S. Keith Dec 22, 2013 6284
"Groundbreaking" or broken? An analysis of SEC cybersecurity disclosure guidance, its effectiveness, and implications. Ferraro, Matthew F. Dec 22, 2013 6484
"Groundbreaking" or broken? An analysis of SEC cybersecurity disclosure guidance, its effectiveness, and implications. Ferraro, Matthew F. Dec 22, 2013 15455
Practical approaches to dealing with whistleblowing. Rizzi, Robert; Lerner, Matthew Nov 1, 2013 4955
CEO vs. worker: new rule requires pay ratio disclosure. Cottingham, Jan Oct 28, 2013 1082
Read between the lines: disclosure rules help bring down 401(k) fees. Gladych, Paula Aven Oct 1, 2013 1248
Timeline of the SEC's XBRL journey: key milestones along the way in XBRL's journey. Calendar Sep 1, 2013 912
Market moving news via social media: hazards ahead. Affelt, Amy Jul 1, 2013 2797
Article 8: disclosure. MacDonald, Carol A. Column Jul 1, 2013 538
Stockholder adoption of mandatory individual arbitration for stockholder disputes. Scott, Hal S.; Silverman, Leslie N. Jun 22, 2013 16691
Railroad audits: some arrived ahead of schedule. Feeney, Kevin Jun 1, 2013 13810
The cost of securities fraud. Velikonja, Urska May 1, 2013 7294
The cost of securities fraud. Velikonja, Urska May 1, 2013 20273
SEC social media rule reflects growing pressure on regulators. Apr 11, 2013 320
In the interest of disclosure: FDA updates guidance on financial disclosures by clinical investigators. Heisey, Colleen Apr 1, 2013 1823
The trouble with Basic: price distortion after Halliburton. Fisch, Jill E. Apr 1, 2013 17497
U.S. Chamber of Commerce says IESBA Ethics Code revisions violate Dodd-Frank. Barlas, Stephen; Christensen, Dallon; Senathi, Nanda Mar 1, 2013 430
The effects of regulatory overload: high costs and few benefits. Radin, Arthur J. Feb 1, 2013 3045
Crowdfunding securities. Schwartz, Andrew A. Feb 1, 2013 14691
Dodd-Frank and the conflict minerals rule: this new regulatory initiative may affect about 6,000 companies in the United States and abroad. What boards need to know, and why they need to act now. Low, Jim Dec 22, 2012 1170
When your patients disclose 'insider information'. Mossman, Douglas Dec 1, 2012 1764
Information issues on Wall Street 2.0. Pollman, Elizabeth Dec 1, 2012 9648
Information issues on Wall Street 2.0. Pollman, Elizabeth Dec 1, 2012 20695
Helping yourself while serving two masters: do specialists violate rule 10B-5 when they interposition? Asudulayev, Roman Dec 1, 2012 20491
Effect of SEC's proposed short-term borrowing disclosure regulation on U.S. stock prices. Chamberlain, Trevor W.; Sarkar, Sudipto; Khokhar, Rahman Nov 1, 2012 891
The new FTC business opportunity rule makes waves: impact on franchise systems: disclosure obligations may be as light as a one-page document, but the rule is now broader. Krakus, Beata Oct 1, 2012 1249
Janus Capital Group: how "making" a statement leads to insulation from liability. Talia, Colin Sep 22, 2012 10554
Full disclosure vs. effective disclosure: as a guiding principle for financial reporting, "full disclosure" is being overtaken by "effective disclosure.". Pounder, Bruce Aug 1, 2012 892
Don't panic: (be prepared for a learning curve on fee disclosure rules). Satter, Marlene Y. Jun 1, 2012 1236
The Dodd-Frank act addresses corporate governance: internal controls, whistleblower provisions, and disclosure regulations. Rashty, Josef Apr 1, 2012 2223
Say on pay in the Dodd-Frank Act: implications of the results in the United Kingdom. Huddleston, Tyler Mar 22, 2012 9310
Promises of leniency: whether companies should self-disclose violations of the Foreign Corrupt Practices Act. Marberg, Sarah Mar 1, 2012 17772
The effects of an undefined "ultimate authority" standard for rule 10b-5 claims: Janus Capital Group, Inc. v. First Derivative Traders. King, Brian P. Mar 1, 2012 12832
Insider trading regulations in Taiwan: a remark on recent developments. Chen, Edgar Y.; Yang, Ya-Wen Jan 1, 2012 2806
Taming Twombly: an update after Matrixx. Hartnett, Edward A. Jan 1, 2012 10199
Rule 10b5-l plans: put them to work: if properly designed, disclosed, and followed, 10b5-l plans can accomplish virtually any executive's investment goals, without being limited by insider-trading policies. So why aren't more executives using them? Rains, Darryl P.; Day, Peter H. Jan 1, 2012 1875
Market makers and vampire squid: regulating securities markets after the financial meltdown. Thompson, Robert B. Jan 1, 2012 26082
Securities market integration in Asia: what would be the theoretical approach? Zahid, Md Anowar; Ali, Hasani Mohd Sep 22, 2011 7782
Full disclosure: new 401(K) fee rules: what you need to know. Dietz, Neil Jul 1, 2011 924
To "make full disclosure and play no tricks": a proposal to enhance fee transparency after Jones v. Harris Associates. Alterbaum, Daniel S. Apr 1, 2011 4066
Private Securities Litigation Reform Act of 1995: safe harbor for the innocent or modern day Port of Tortuga for the buccaneers of Wall Street? Lasker, Cory A. Mar 22, 2011 13094
Regulation S-K Item 402(s): regulating compensation incentive-based risk through mandatory disclosure. Higgins, Danielle Angott Mar 22, 2011 13881
Stock broker fiduciary duties and the impact of the Dodd-Frank Act. Hazen, Thomas Lee Mar 1, 2011 8106
The Dodd-Frank Wall Street Reform and Protection Act of 2010: highlights of the law and opportunities for accounting practitioners, academics, and students. Rao, Hema; MacDonald, John; Crawford, Dean Mar 1, 2011 9330
FASB issued an exposure draft that contains clarifying guidance intended to improve consistency and transparency in financial reporting about troubled debt restructurings. Jan 1, 2011 390
SEC guidance on disclosure related to climate change: overview, analysis and consequences for public companies. Fornaro, James M. Jan 1, 2011 2637
Disclosure provisions of the Model Business Corporation Act. Keller, Stanley Jan 1, 2011 2750
Corporate governance in emerging markets: barriers to effective reform. Okpara, John O.; Wynn, Pamela Survey Jan 1, 2011 4734
Regulations gearing up: many federal government agencies, including the SEC, the MSRB, and the IRS, have proposed or finalized regulations that also affect state and local governments. Gaffney, Susan Dec 1, 2010 1923
Jersey Sure? Nov 1, 2010 1360
Florida financial reform after Madoff. McAuley, James F.; White, Richard A. Nov 1, 2010 6887
Immaterial lies: condoning deceit in the name of securities regulation. Padfield, Stefan J. Sep 22, 2010 23953
The impact of regulation FD on institutional investor informativeness. Cook, Douglas O.; Tang, Tian Sep 22, 2010 10452
Dodd-Frank creates a new landscape: the most comprehensive changes to financial regulation in the United States since the great depression were signed into law in July. What's next, and just what does this massive piece of regulation mean for business? North, Cady Sep 1, 2010 2011
The debate over your future: the fiduciary vs. suitability standard: examining the two sides of the standard of advisor care issue and how it can affect you and your clients. Stevick, Glenn E., Jr. Sep 1, 2010 1663
Foreign accounts: new rules for disclosure, penalties and extended statute of limitations. Josephs, Stuart R. Aug 1, 2010 1622
Reading Stoneridge carefully: a duty-based approach to reliance and third-party liability under rule 10B-5. Langevoort, Donald C. Jun 1, 2010 21985
New ideas regulation, for improving standards, and education; an analysis of recent recommendations. Bloom, Robert; Weiss, Patti R. Apr 1, 2010 3858
Myths about mutual fund fees: economic insights on Jones v. Harris. Johnsen, D. Bruce Mar 22, 2010 29572
Duplicative, confusing, and legally inaccurate: the SEC's attempt to regulate fixed indexed annuities. Van Heuvelen, Matt Mar 22, 2010 15436
The implications of IFRS on the functioning of the securities antifraud regime in the United States. Phillips, Lance J. Feb 1, 2010 15561
Back to basics: what every government should check each time it issues debt. Scott, Robert W. Feb 1, 2010 1854
A practical guide to the new PCAOB reporting requirements. Berger, Steven R. Feb 1, 2010 6169
Greater mutual fund transparency in India: enhanced disclosure protection for India's mutual fund unitholders in a time of market volatility. Smith, Stephen P. Jan 1, 2010 17008
Banks and brokers and bricks and clicks: an evaluation of FINRA's proposal to modify the "bank broker-dealer rule". Gross, Jill I.; Pekarek, Edward Jan 1, 2010 8373
Review of the policy debate over short sale regulation during the market crisis. McCaffrey, David P. Jan 1, 2010 14440
After the storm: unmasking publicly-traded private equity firms to create value through shareholder democracy. Gomberg, Trevor M. Jan 1, 2010 10820
Chapter XIII: criminal enforcement. Jan 1, 2010 13708
Shareholder compensation as dividend. Park, James J. Dec 1, 2009 25021
Stakeholder inclusion and shareholder protection: new governance and the changing landscape of American securities regulation. Kingsbery, Paul Curran Nov 1, 2009 13244
Loss causation and class certification. Serajeddini, Steven Nov 1, 2009 11688
Something about Mary: let's hope the rereg buck stops at the SEC Chair's desk. Clark, Bob Aug 1, 2009 1342
FASB published standards that change the way entities account for securitizations and special-purpose entities. Aug 1, 2009 443
The International Accounting Standards Board (IASB) announced a series of actions it has taken to address recommendations made by the G-20 leaders last November in Washington. Mar 1, 2009 442
Beyond economics: the U.S. recognition of international financial reporting standards as an international subdelegation of the SEC's rulemaking authority. Barney, Jacob L. Mar 1, 2009 19071
Regulating complexity in financial markets. Schwarcz, Steven L. Mar 1, 2009 29196
Assessing the materiality of financial misstatements. Park, James J. Jan 1, 2009 30567
Deeply and persistently conflicted: credit rating agencies in the current regulatory environment. Lynch, Timothy E. Jan 1, 2009 37565
Bridging the gap between ownership and control. Adams, Edward S. Jan 1, 2009 19903
Rating management behavior and ethics: a proposal to upgrade the corporate governance rating criteria. Vo, Thuy-Nga T. Sep 22, 2008 24177
Audit committee responsibilities disclosed since Sarbanes-Oxley. Keinath, Annemarie K.; Walo, Judith C. Jun 1, 2008 4076
The disclosure process--uncertainties, ambiguities and unresolved issues: while the disclosure document conversion process has gone quite smoothly for many franchisors, there are lingering issues. Hershman, Stuart May 1, 2008 2051
House panel OKs more 401(k) fee disclosure. Brady, Matt Apr 21, 2008 504
Securities law - First Circuit limits scope of "safe harbor" disclosure loophole under misappropriation theory of insider trading. Manning, Matthew R. Mar 22, 2008 5738
Stock option "springloading": an examination of loaded justifications and new SEC disclosure rules. Hughes, William Mar 22, 2008 10654
Current research questions on internal control over financial reporting under Sarbanes-Oxley: lessons for auditors. Zhang, Jian; Pany, Kurt Feb 1, 2008 3093
Should bank supervisors disclose information about their banks? Prescott, Edward Simpson Jan 1, 2008 7161
Sons of Gwalia Ltd v Margaretic: the shifting balance of shareholders' interests in insolvency: evolution or revolution? Hargovan, Anil; Harris, Jason Aug 1, 2007 15467
VIII. Wanted from the SEC: investor-oriented leadership. Freeman, John P. Jun 22, 2007 2288
The social construction of Sarbanes-Oxley. Langevoort, Donald C. Jun 1, 2007 20070
Sarbanes-Oxley and the cross-listing premium. Litvak, Kate Jun 1, 2007 16384
IPO liability and entrepreneurial response. Spindler, James C. May 1, 2007 19966
Complying with SEC filing requirements: do you risk waiving a privilege. Hardin, Julie; Stauffer, Kara; Walkowiak, Vincent S. Apr 1, 2007 3020
Enhancing the accountability of credit rating agencies: the case for a disclosure-based approach. Rousseau, Stephane Dec 22, 2006 22039
Corporate speech, securities regulation, and an institutional approach to the First Amendment. Siebecker, Michael R. Nov 1, 2006 22837
Responses by the Federal Communications Commission to WorldCom's accounting fraud. Lavey, Warren G. Jun 1, 2006 31429
The essential role of securities regulation. Goshen, Zohar; Parchomovsky, Gideon Feb 1, 2006 31627
The potent and broad-ranging implications of the accounting and record-keeping provisions of the Foreign Corrupt Practices Act. Deming, Stuart H. Jan 1, 2006 19135
How to prevent investment adviser fraud. Carroll, Brian Jan 1, 2006 2601
'Fraud on the market': judicial approaches to causation and loss from securities nondisclosure in the United States, Canada and Australia. Duffy, Michael Dec 1, 2005 22891
Assessing the deterrent effect of the Sarbanes-Oxley Act's certification provisions: a comparative analysis using the Foreign Corrupt Practices Act. Lacey, Kathleen A.; George, Barbara Crutchfield; Stoltenberg, Clyde Mar 1, 2005 19417
No good deed goes unpunished? Establishing a self-evaluate privilege for corporate internal investigations. Lotchin, Theodore R. Dec 1, 2004 15318
Technological evolution and the devolution of corporate financial reporting. Langevoort, Donald C. Oct 1, 2004 12557
GAO supports insurance regulator access to FBI criminal database. Postal, Arthur D. Aug 9, 2004 765
Law, share price accuracy, and economic performance: the new evidence. Fox, Merritt B.; Morck, Randall; Yeung, Bernard; Durnev, Artyom Dec 1, 2003 23083
A practical guide to Sarbanes-Oxley. Goodman, George R. Oct 1, 2003 5874
SEC proposes enhanced board disclosure. Brief Article Oct 1, 2003 80
Regulation FD: coping in the trenches: CFOs tell how the SEC's stricter disclosure rules have changed the way they release financial information about their companies. McCarthy, Ed Jun 1, 2003 3650
Reform measures achieve fruition. Mar 1, 2003 481
SEC OK's rules, amendments. (Sarbanes-Oxley). Brief Article Mar 1, 2003 235
The Enron affair from a lender's view. (News & Views). Grusd, Neville Dec 1, 2002 1475
Discomfort Over Disclosure. Marshall, Jeffrey Brief Article Nov 1, 2000 344
CCR Comments on Reg FD. Brief Article Nov 1, 2000 190
Deconstructing section 11: public offering liability in a continuous disclosure environment. Langevoort, Donald C. Jun 22, 2000 13971
Comments on loss and valuation accrual accounts and supplementary financial information. May 1, 2000 2944
SEC ISSUES SABS ON RESTRUCTURING AND IMPAIRMENT CHARGES, REVENUE RECOGNITION. Feb 1, 2000 694
Legal Developments. Nov 1, 1998 2794
SEC approves summary profiles for mutual fund investors. Brief Article May 1, 1998 256
SEC urges Year 2000 disclosure. Mar 1, 1998 406
Complying with secondary market disclosure rules: an update. Tigue, Patricia Oct 1, 1997 2943
SEC adopts new disclosure rules for derivatives. Apr 1, 1997 600
SEC proposes mandating plain English. Brief Article Apr 1, 1997 224
SEC Advisory Committee issues report on capital formation, calls for more intensive disclosure. Nov 1, 1996 532
Electronic delivery of financial information. Becker, Joanne Mays Jun 1, 1996 2658
SEC supports disclosure simplification recommendations. May 1, 1996 597
SEC releases derivatives rule proposal. Brief Article Mar 1, 1996 283
Wallman announces SEC derivatives and market risk proposal. Dec 1, 1995 733
SEC recommends more disclosure to avoid another Orange County debacle. Brief Article Oct 1, 1995 439
SEC seeks comments on proposals for risk disclosure. Brief Article Jun 1, 1995 381
The obsolescence of Wall Street: a contextual approach to the evolving structure of federal securities regulation. Seligman, Joel Feb 1, 1995 27171
SEC chairman promises more investor protection. Dec 1, 1994 593
FASB issues ED on derivatives. Brief Article Jul 1, 1994 347
SEC examining corporate derivative losses. Brief Article Jul 1, 1994 223
Many companies fail to disclose environmental liabilities. Brief Article Jul 1, 1994 221
Corporations pressed for SEC disclosure. Kurland, Orin M. Jul 1, 1994 549
A checklist for management discussion and analysis. Moon, James E. Dec 1, 1991 1507
Statements to the Congress. Transcript Nov 1, 1991 1802
Statements to the Congress. Transcript Nov 1, 1991 2257
Statements to the Congress. Transcript Nov 1, 1991 4165

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