Month: October 2010

SOX Section 304 and Dodd-Frank Section 954 present the SEC with a critical test. Each Section provides for the claw back of certain executive incentive executive compensation when there is a restatement. The challenge for the Commission is to use …

BRINGING A NEW ETHICS TO THE MARKET PLACE: SOX 304, DODD-FRANK 954 Read More »

Regulators from six agencies including the SEC appeared on Thursday before the Senate Banking Committee to detail their plans for implementing Dodd-Frank. SEC Chairman Mary Shapiro told the Committee that the Commission has more than 100 rule-making provisions, 20 studies …

THIS WEEK IN SECURITIES LITIGATION (October 8, 2010) Read More »