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Category Archives: Securities Law

Search the full text of EDGAR filings from the last four years

SEC: “This page allows you to search the full text of EDGAR filings from the last four years. The full text of a filing includes all data in the filing as well as all attachments to the filing. To find the information you need and make your search easy and enjoyable, please visit our FAQContinue Reading

SEC Proposes Rules on "Say on Pay" and Proxy Vote Reporting

News release: “The Securities and Exchange Commission today proposed rules that would enable shareholders to cast advisory votes on executive compensation and “golden parachute” arrangements. The rules are called for by Section 951 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Under the proposed rules, public companies subject to the federal proxy rulesContinue Reading

NERA Update on Credit Crisis Litigation

An Update on the Credit Crisis Litigation: A Turn Towards Structured Products and Asset Management Firms, June 15, 2009: “In this NERA paper, co-author Vice President Dr. Faten Sabry provides an update on credit crisis-related securities litigation. The paper highlight emerging trends in a number of areas, including filings, percentage of cases involving directors andContinue Reading

SEC Soliciting Public Comment on Eliminating Reconciliation Requirement for IFRS Financial Statements

Press release: “The Securities and Exchange Commission has published for public comment a proposal to eliminate the current requirement that foreign private issuers filing their financial statements using International Financial Reporting Standards (IFRS) as published by the International Accounting Standards Board (IASB) also file a reconciliation of those financial statements to U.S. Generally Accepted AccountingContinue Reading

Testimony on Foreign Holdings of U.S. Government Securities and the U.S. Current Account

Congressional Budget Office Testimony on Foreign Holdings of U.S. Government Securities and the U.S. Current Account, June 26, 2007, Committee on the Budget, House of Representatives.

WSJ Posts CEO Compensation Scorecard

WSJ free article – CEO Compensation Scorecard: “…starting with this year’s proxies, the SEC has changed how companies report pay. For companies whose fiscal year ended after Dec. 15, 2006, the SEC now mandates a table that includes salary, bonus, the accounting cost of stock and stock-option awards, incentive-plan payments, change in pension value andContinue Reading

Stanford Class Actions Clearinghouse Year in Review 2006

“The Securities Class Action Clearinghouse provides detailed information relating to the prosecution, defense, and settlement of federal class action securities fraud litigation. The Clearinghouse maintains an Index of Filings of 2461 issuers that have been named in federal class action securities fraud lawsuits since passage of the Private Securities Litigation Reform Act of 1995. TheContinue Reading

New on

The following articles are available in the December 2006 issue of Bloggers Beware: Debunking Nine Copyright Myths of the Online World – Updated, by Kathy Biehl Criminal Justice Resources – Criminal Justice Blogs, by Ken Strutin A Compilation of State Lawyer Licensing Databases, by Trevor Rosen and Andrew Zimmerman Deep Web Research Research 2007,Continue Reading

SEC Enhances Online Search Capabilities for Investors

Press release: “Securities and Exchange Commission Chairman Christopher Cox today announced that investors are now able to search the contents of the disclosure documents filed electronically with the SEC using a new full-text search tool on the Commission’s website. The newly searchable information includes registration statements, annual and quarterly reports, and other filings by companiesContinue Reading

CEO Seeks SEC Approval to Satisfy Fair Disclosure Requirement Using Websites and Blogs

Excerpt of letter sent by Sun Microystems, Inc. CEO Jonathan Schwartz to SEC Chairman Christopher Cox, on October 2, 2006: “As adopted, Regulation Fair Disclosure’s requirement of widespread dissemination can be met through the filing of a Form 8-K or “through another method (or combination of methods) of disclosure that is reasonably designed to provideContinue Reading

SEC to Rebuild Public Disclosure System to Make It 'Interactive'

SEC press release: “Sept. 25, 2006 — U.S. Securities and Exchange Commission Chairman Christopher Cox announced today that the SEC has awarded three separate contracts totaling $54 million to transform the agency’s 1980s-vintage public company disclosure system from a form-based electronic filing cabinet to a dynamic real-time search tool with interactive capabilities.”

SEC v. Martha Stewart and Peter Bacanovi

Litigation Release No. 19794 / August 7, 2006, SEC v. Martha Stewart and Peter Bacanovi, 03 Civ. 4070 (RJH) (S.D.N.Y.) Martha Stewart and Peter Bacanovic Agree to Settle SEC Insider Trading Charges “The Securities and Exchange Commission today announced that it has reached an agreement to settle insider trading charges against Martha Stewart and PeterContinue Reading