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Who Visits The SEC's Public Reference Room Anyway?

I see the following disclosure in many Form 10-Ks:

The public may read and copy any materials we file with, or furnish to, the SEC at the SEC's Public Reference Room at 100 F Street, NE, Washington, DC 20549.  The public may obtain information on...

Securities and Exchange Commission

Did The SEC's Pay Ratio Guidance Miss Conjunction Junction?

Last week, the Securities and Exchange Commission issued interpretive guidance to assist issuers in complying with the pay ratio rule.  At the same time, the Division of Corporation Finance staff issued guidance concerning how companies might use...

Pay Ratio Rule, Washington College of Law, Executive Compensation, and/or, Ira p. Robbins, Securities and Exchange Commission

The SEC's Flawed Changes To Exchange Act Forms

Title I of the Jumpstart Our Business Startups (aka JOBS) Act amended the Securities Act and the Exchange Act to provide some regulatory relief to issuers that qualify as an "emerging growth company".  Recently, the Securities and Exchange...

SEC, Administrative Procedure, Administrative Procedure Act, AP, Form 10-K, Form 10-Q, public notice, Section 553, Securities and Exchange Commission

Exactly What Part Of "To The Commission" Is Ambiguous?

The Dodd-Frank Act gave us many things, including Section 21F of the Securities Exchange Act of 1934.  Section 21F, prohibits employers from retaliating against a "whistleblower".  15 U.S.C. § 78u-6(h)(1)(A).  We need not guess about the definition...

Rule 21F-2, Section 21F, Somers v. Digital Realty Trust, Dodd-Frank Act, SEC, Securities and Exchange Commission, whistleblower, Whistleblowers

How Independent Is The SEC And How Independent Should It Be?

Can the President say "You're Fired!" to an SEC Commissioner?

In a recent post, John Jenkins emphasized the commonly held understanding that the Securities and Exchange Commission is an "independent agency".  The independence of the SEC, however, is...

Legal History, Broc Romanek, SEC, 44 U.S.C. Sec. 3502(5), Davis Polk, Financial Institutions, for cause removal, Free Enterprise Fund v. PCAOB, independent regulatory agency, Justice Stephen G. Breyer, Securities and Exchange Commission

Is This SEC Claim False And Misleading?

Last week, the Securities and Exchange Commission announced yet another whistleblower award.  According to the SEC, the award totals more than $5.5 million dollars.  Tellingly, we don't, and won't, know the exact amount.  The headline to the SEC's...

SEC, Securities and Exchange Commission, whistleblower, Whistleblowers

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30172DBAB0084D3A8F39D7AF0A8E79BC.ashxKeith Paul Bishop
Partner at Allen Matkins
(949) 353-6328
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