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Thomas O. Gorman
Dodd-Frank, The SEC and Corporate Governance

The federal securities laws have traditionally focused largely on disclosure, leaving corporate governance to state law. Nevertheless, Dodd-Franks expands the Commission's role in corporate governance in three key areas. This is consistent with...

Thomas O. Gorman
Dodd-Franks, The SEC and Executive Compensation

Prior articles have reviewed the provisions of Dodd-Frank which focus on SEC Enforcement ( here ) and rule making ( here ). Other provisions of the Act impact the Commission's authority regarding executive compensation. In part, these are discussed...

Doug Cornelius
The First Attack on the Accredited Investor Standard

Many of the provisions in the Dodd-Frank Wall Street Reform and Consumer Protection Act merely provide for future regulatory framework. That it is in part true for the changing definition of "accredited investor" under the Securities Act...

Thomas O. Gorman
The SEC Settles Its New Century Sub-Prime Case

New Century Financial was once the number three sub-prime lender. The Commission's action against its three officers is one of the more significant market crisis cases brought by the SEC to date. On Friday, the agency settled with each defendant...

K & L Gates LLP
Dodd-Frank Wall Street Reform Act Includes Immediate Change to Securities Act of 1933 "Accredited Investor" Definition for Natural Persons

by Kristy T. Harlan and Vincent J. Pisano On July 21, President Obama signed the Dodd- Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). A change to the definition of "accredited investor" under the Securities Act of 1933...

Thomas Fox
Compelled Giving and the FCPA

The recent post on charitable donations under the Foreign Corrupt Practices Act (FCPA) and Opinion Release 10-02 brought an interesting dialogue with fellow blogger, the FCPA Professor . The FCPA Professor raised the issue of " compelled giving...