SEC Updates

FCPA Considerations to Interact with Foreign Officials

If your business requires you to interact with foreign officials, then you probably already know that the Foreign Corrupt Practices Act (FCPA) prohibits you from paying bribes to foreign officials to assist in obtaining or retaining business. The FCPA also
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SEC Actions Target Companies for Failure to File 8-Ks

On November 5, 2014, the SEC announced enforcement actions against 10 public companies that failed to make required disclosures about unregistered issuances of shares that resulted in the dilution of their stock. The SEC found that each of the 10
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Brokers Selling Unregistered Securities

In connection with an enforcement action, the SEC provided answers to frequently asked questions about the broker’s exemption in the resale of unregistered securities and warnings of common deficiencies in this compliance area among 22 recently examined broker-dealers. This is
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SEC Targets Insiders for Failure to File Reports

 A recent enforcement initiative by the SEC focusing on the filing of ownership reports has resulted in charges being filed against 28 officers, directors or major shareholders and six publicly traded companies for violating federal securities laws. The public companies
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NEW SEC PROXY REVIEW INITIATIVE

February 5, 2010– In anticipation of the 2010 proxy season, the staff of the SEC’s Division of Corporation Finance has announced a new proxy statement review initiative and related more assertive staff positions to accompany new substantive disclosure items. New
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