News Briefs


Privy Council Clarifies When Innocent Third Parties are Liable to Victims of Fraud  
April 27, 2015 


Are the Securities Laws a First Amendment Free Zone?  
July 16, 2014 

Rare Good News from the DRC?  
July 16, 2014 

Informal SEC Staff Advice Excludes Chemical Compounds Manufactured from 3TG from Application of Conflict Minerals Rule   
July 14, 2014

Results of 2014 Proxy Season  
July 14, 2014 

The Auditors’ “Little Speech” about Critical Audit Matters  
July 10, 2014 

Does Transparency Cure Conflicts?  
June 30, 2014 

EY Analysis of First Year of Conflict Minerals Reporting
June 30, 2014

Say-on-Pay Failures more Common at Midsize Companies  
June 27, 2014 

Are BODs Doing Appropriate Succession Planning?  
June 25, 2014 

Corporate Gadflies Lead the Way on Shareholder Proposals in 2014  
June 23, 2014 

Companies Involved in M&A Activity More Likely Targets of Cyberattacks  
June 13, 2014 

SEC Employs New Tools to Detect Earnings Manipulation and Other Illegal Activity  
June 12, 2014 

DealBook Column Addresses Role of Counsel  
June 11, 2014 

PCAOB Adopts New Standard and Amendments Regarding Related-Party and Unusual Transactions  
June 11, 2014 

Proxy Advisory Firm Guidance Expected, Again  
June 6, 2014 

New Revenue Recognition Standard  
June 5, 2014 

NGOs React to Conflict Minerals Reports  
June 4, 2014 

Direct to court for shareholder proposals? The Finale  
June 4, 2014 

Petitions for Rehearing En Banc Filed in Conflict Minerals Cases  
May 30, 2014 

WSJ Reports Very Few Know Much About their Conflict Minerals  
May 27, 2014 

No Surprise –D.C. Circuit Rejects Motion for Stay of Conflict Minerals Rules  
May 14, 2014 

NAM Requests Stay From Appeals Court on Conflict Minerals Rule  
May 6, 2014 

SEC Denies Petition for Stay of Entire Conflict Minerals Rule; Stays Only Portion of Rule  
May 2, 2014 

NAM Petitions SEC to Stay Conflict Minerals Rule  
April 30, 2014 

WSJ Reports SEC Preparing to Implement Almost All of Conflict Minerals Rules   
April 29, 2014 

SEC Finally Speaks on Conflict Minerals Decision  
April 29, 2014 

Two SEC Commissioners Speak their Minds about Conflict Minerals  
April 28, 2014 

SEC Tells us How to Tweet a Legend  
April 22, 2014 

SEC’s Conflict Minerals Rules Struck Down in Part on First Amendment Grounds  
April 14, 2014 

Announcements from Corp Fin re Procedure Changes  
April 11, 2014 

SEC Posts New Conflict Minerals CDIs  
April 8, 2014 

The Conference Board’s Proposal for Improved Company-Shareholder Relations  
March 31, 2014 

Commissioner Gallagher Takes on Shareholders Proposals by Corporate Gadflies  
March 28, 2014

Is Victory No. 3 a Nail in the Coffin for Direct-to-Court Strategy for Shareholder Proposals…or Just a Pyrrhic Victory?   
March 18, 2014 

Recent Activist Victories Tarnish Direct-to-Court Strategy for Excluding Shareholder Proposals  
March 13, 2014 

EU Releases Conflict Minerals Proposal  
March 11, 2014 

SEC’s Top Agenda Items   
March 3, 2014 

Will the Courts Become the New Battleground for Exclusion of Shareholder Proposals?  
March 3, 2014 

Director Disqualification Bylaws  
February 14, 2014 

PCAOB Nixes Mandatory Auditor Rotation  
February 6, 2014 

Corp Fin Financial Reporting Manual Updates Guidance for Critical Accounting Estimate Disclosure for IPOs  
February 6, 2014 

AICPA Issues FAQs Regarding Audits of Conflict Minerals Reports   
February 5, 2014

SEC Staff to Continue to Focus on MD&A in 2014  
February 4, 2014 

New Protocol for Discussions Between Boards and Institutional Shareholders  
February 3, 2014 

For Your Friday Afternoon Amusement…  
January 31, 2014 

WSJ Notes Increased Defensive Activity by Companies as Protection Against Activists  
January 29, 2014 

SEC Charges KPMG with Auditor Independence Violations  
January 27, 2014 

SEC Asking Companies More about Overseas Taxes  
January 27, 2014 

Podcast with Intel’s Director of Corporate Citizenship re Conflict Minerals  
January 23, 2014 

Post-Restatement Rebuilding Actions  
January 23, 2014 

WSJ on Proxy Season Themes  
January 22, 2014 

Big Disparity in Views of Directors and Investors on Executive Pay  
January 16, 2014 

CII Petitions SEC for Universal Proxy  
January 15, 2014 

PCAOB Warning Triggers Tougher Audits and More Focus on Internal Controls  
January 15, 2014 

Judges Reportedly Skeptical of Conflict Minerals Rules in Appeal Hearing Today  
January 7, 2014 


SEC staff reports to Congress on Review of Reg S-K Disclosure Requirements  
December 23, 2013 

Familiar Themes for Audit Deficiencies in 2013   
December 19, 2013 

All Pay Measures Have Their Shortcomings…..  
December 19, 2013 

SEC Proposes Regulation A+  
December 18, 2013 

The Old Way of Doing Things is Long Over…  
December 12, 2013 

Clubby Ties Bind Audit Committee Members and Executives  
 December 12, 2013 

Clubby Ties Bind Audit Committee Members and Executives  
December 12, 2013

SEC Declares Immediately Effective Nasdaq proposal to Amend its Compensation Committee Composition Rules  
December 11, 2013

WSJ Observes that Companies and Activists Frequently Declare Truces in the Boardroom   
December 11, 2013 

SEC Focusing on Segment Reporting  
December 10, 2013 

SEC Task Force Scrutinizing Use of Non-GAAP Measures  
December 10, 2013 

Nasdaq Proposes Amendments to its Compensation Committee Composition Rules  
December 9, 2013 

More on Enhanced Audit Committee Reporting  
December 3, 2013 

No Political Spending Disclosure on SEC Agenda  
December 2, 2013 

Regulatory Pressure Leads to Increasing Audit Fees  
November 22, 2013 

More Audit Committee Transparency Encouraged  
November 21, 2013 

ISS Takes on Bylaw Provision Designed to Deter Dissident Director Candidates  
November 21, 2013 

All Independent, All the Time?  
November 20, 2013

Is the SEC Urging a Faster Transition to the New COSO Internal Control Framework?  
November 20, 2013 

All independent, all the time?  
 November 20, 2013 

WSJ Article on Executive Stock Sales Following Guidance  
November 19, 2013 

New Yorker Article on Mary Jo White  
November 11, 2013 

SEC Staff Doesn’t Like ”Likes”  
November 7, 2013 

Harmony Reigns as SEC Proposes Crowdfunding Rules  
October 23, 2013 

Expanded role for SEC in Monitoring Violations of Iran Sanctions?  
October 22, 2013 

Delaware Upholds Forum Selection Bylaws — Plaintiffs Voluntarily Dismiss Appeal  
October 18, 2013 

SEC to Propose New JOBS Act Crowdfunding Rules  
October 18, 2013 

SEC Shutdown Averted??  
October 16, 2013 

Mary Jo White Again Raises Issue of Disclosure Overload   
October 16, 2013 

Should Executive Comp Really be Tied to Stock Price?  
October 15, 2013 

SEC Notice Re Acceleration in Event of Prolonged Shutdown  
October 7, 2013 

Chair White speech on Independence of SEC  
October 4, 2013 

Group Cites Improvement in Political Spending Disclosure  
October 3, 2013 

More on the Trend Toward Institutional Investors Becoming More Activist 
October 3, 2013 

Cybersecurity Risk Disclosures  
October 3, 2013 

Impact of the Government Shutdown on the SEC  
October 1, 2013 

In the Event of a Government Shutdown….  
September 27, 2013

SEC Pay-Ratio Proposal  
September 18, 2013 

SEC Proposes Pay-Ratio Rules  
September 18, 2013 

Appeal Filed on Conflict Minerals Decision  
September 16, 2013 

Conflict Minerals Rulemaking Petition   
September 13, 2013 

Coalition of Activists Describe their “Expectations” for Conflict Minerals Disclosure on Form SD  
September 12, 2013 

Problems with Inspections at Overseas Factories: is More Risk Disclosure Warranted?   
September 12, 2013 

Interesting Article on Deliberations re Bringing Charges Against Lehman   
September 9, 2013 

More on the Pernicious Effect of “Maximizing Shareholder Value”  
September 7, 2013 

CFSI White Paper on Conflict Minerals Practical Guidance  
September 5, 2013 

It’s Back to the Drawing Board for the SEC on Resource Extraction Disclosure Rules  
September 3, 2013

SEC Fee Rates for 2014  
August 30, 2013 

Washington Post Article on the Shift to Maximizing Shareholder Value  
August 30, 2013 

Is the Internal Equity Disclosure Provision Just “Cheap Regulation”?  
August 29, 2013 

PCAOB May Soon Require that Engagement Partners be Named in Audit Report  
August 28, 2013 

Today, Conflict Minerals; Tomorrow, Conflict Wood and Conflict Water?  
August 27, 2013 

The End of Stock Options?  
August 27, 2013 

The New Alliance Between Institutional Shareholders and Activist Investors  
August 21, 2013 

Debate Begins on New PCAOB Proposal  
August 19, 2013 

Business Groups Take Steps to Appeal Conflict Minerals Decision  
August 14, 2013 

PCAOB Proposes new Standard to Enhance Audit Report  
August 13, 2013 

GAO Report on Conflict Minerals  
August 12, 2013 

Bloomberg Editorial Advocates Expansion of the Dodd-Frank Conflict Minerals Provision  
August 8, 2013 

SASB Issues Sustainability Disclosure Standards for the Health Care Sector  
August 5, 2013 

SEC Wins Motion for Summary Judgment on Conflict Minerals Rules  
July 24, 2013 

SEC Conflict Minerals Rules Survive Challenge — It’s Time to Get Serious About Compliance   
July 24, 2013 

Is an Internal Pay Equity Disclosure Proposal On the Way?  
July 18, 2013 

NYSE Amends Shareholder Vote Requirement  
 July 18, 2013 

S&P Loses the First Round Against the DOJ  
July 17, 2013 

New Changes to Delaware Law  
July 16, 2013 

Survey by PwC Shows not Much Progress on Conflict Minerals  
July 11, 2013 

SEC adopts changes to Reg D  
July 10, 2013 

Reg D Rules Posted  
July 10, 2013 

Is the JOBS Act a Bust?  
 July 9, 2013 

Behind the Scenes Look at the Internal Pay Equity Disclosure Rule  
July 8, 2013 

Behind the Scenes Look at the Internal Pay Equity Disclosure Rule  
July 8, 2013 

WSJ Article Regarding Ruling on Forum Selection Bylaws 
 July 8, 2013 

DGCL 251(h) 
July 5, 2013 

Oral Argument in Case Challenging Conflict Minerals Rules Offers Mixed Signals  
July 2, 2013 

Judge Tosses SEC’s Resource Extraction Rule 
 July 2, 2013 

More on SEC Decision to Require Some Defendants to Admit Misconduct  
June 21, 2013 

House Bill Proposes Repeal of Dodd-Frank Internal Pay Equity Disclosure  
June 20, 2013

SEC to Limit Ability to Settle Without Admission of Wrongdoing in Some Cases 
 June 18, 2013 

Does Compliance with Proxy Advisors’ Recommendations Decrease Shareholder Value?  
June 18, 2013 

Follow-Up Question to SEC’s Guidance Regarding Conflict Minerals 
 June 10, 2013 

Groupon Litigation Follow-Up   
 June 7, 2013 

Exchanges Urged to Require One-Share, One Vote  
June 7, 2013 

SEC Finally Issues Some Guidance on Conflict Minerals  
May 31, 2013 

New CDIs Regarding Payments by Resource Extraction Issuers  
May 31, 2013 

Another Court Case Regarding a Shareholder Proposal  
May 30, 2013 

Delaware to Allow B-Corps?  
May 30, 2013 

New SEC Software Identifies Potential Fraud  
May 28, 2013 

New Nominees for the SEC  
May 24, 2013 

There’s More: WSJ Says ISS Influence Wanes  
May 23, 2013 

SEC Censures ISS   
May 23, 2013 

One More New CDI  
May 20, 2013 

COSO Issues Updated Internal Control Framework 
May 20, 2013 

Nasdaq Withdraws Proposal for Full Employment for Auditors, but Stay Tuned  
May 17, 2013 

SEC Posts New CDIs  
May 16, 2013 

DealBook Columns Discussing Incentive Pay to Directors and Proposed Preclusive Bylaw  
May 13, 2013 

No Rush to Use Social Media Yet  
May 9, 2013 

PCAOB Reproposes Auditing Standard Regarding Related-Party Transactions and Related Amendments  
May 7, 2013 

Episode 6  
May 7, 2013 

Disclosure of Corporate Political Spending Hits the Airwaves  
May 7, 2013 

White Reported to Favor Lifting Ban on General Solicitation  
May 6, 2013 

WSJ Reports on Conflict Minerals smuggled with False Certificates of Origin  
May 3, 2013 

Delay in Case Challenging Conflict Minerals Rules?   
May 3, 2013 

An “Exotic Permutation” in the Use of 10b5-1 Plans  
May 3, 2013 

Are New Rules on Disclosure of Political Spending Imminent?  
April 25, 2013

Common Sense Comes to SOX 402?  
April 19, 2013 

More Cybersecurity Disclosure Urged  
April 18, 2013 

A Slow Start to Conflict Minerals Compliance  
April 18, 2013 

Towers Watson Survey Finds “Pay-for-Performance Praised but not Honored”  
April 15, 2013 

One Large Company’s Approach to Conflict Minerals   
April 15, 2013 

SEC Embraces Modernity — Sort Of  
April 2, 2013 

Audit Committee Reports in Proxy Statements  
March 13, 2013 

Nasdaq Proposes Full Employment for Auditors  
March 8, 2013 

March 5, 2013 

Could the U.S. Be Next to Adopt Binding Say On Pay?  
March 5, 2013 

USSCT Decides Amgen Case Re Class Certification  
February 27, 2013 

Is Shareholder Democracy Just a Good Sound Bite?  
February 27, 2013 

Corporate Political Spending Disclosure  
February 26, 2013 

SEC Posts “Accessing the U.S. Capital Markets — A Brief Overview for Foreign Private Issuers”   
February 20, 2013 

Auditors Under Scrutiny Get More Serious About Internal Controls  
February 12, 2013 

Fear of Litigation Hovers Over Proxy Season  
February 5, 2013 

XBRL: A Colossal Waste of Time (and Money)?  
January 29, 2013 

SEC Approves SRO Listing Standard Changes Related to Compensation Committee Independence and Consultants and Advisers  
January 16, 2013 

SEC Approves NYSE Rule Amendment Regarding Methods for Providing Notice  
January 14, 2013 

Article Re Liability Related to Unclaimed Property 
 January 8, 2013 

Rule-making Petition Regarding 10b5-1 Plans  
 January 3, 2013


SEC Approves PCAOB Auditing Standard No. 16, Communications with Audit Committees  
December 21, 2012 

New Disclosure re Prohibited Transactions with Iran   
December 20, 2012 

Nasdaq Amends Proposal Regarding Compensation Committee Independence and Consultants  
December 17, 2012 

PCAOB Reports Problems with Internal Control Audits  
December 10, 2012 

Update: Nasdaq Proposes to Require Companies to Amplify Disclosure re Listing Deficiencies  
December 6, 2012 

The SEC Cracks Down on Social Media Disclosures  
December 6, 2012 

New CDIs Regarding the Iran Threat Reduction and Syria Human Rights Act of 2012  
December 5, 2012 

SEC Action Delayed re Nasdaq and NYSE Listing Standards for Compensation Committees and Advisors  
November 29, 2012 

Court Orders Expedited Schedule for Conflict Minerals Challenge  
November 29, 2012 

Articles re the Change in Leadership at the SEC  
November 29, 2012 

Is the Level of Profitable Trading by Insiders Under 10b5-1 Plans Just Serendipity?  
November 28, 2012

Schapiro to Step Down as Head of SEC  
November 26, 2012 

Business Groups Challenging Conflict Minerals Rules Provide Some Insight on Potential Arguments and Timing  
November 21, 2012