‘Enforcement 40’ for 2020
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By Securities Docket on December 29, 2008, 11:59 pm
Introducing the Securities Litigation and Enforcement Channel. http://is.gd/e429 # Securities class action filed against Emcore Corporation in District of New Mexico. http://is.gd/e2vD # Court rules clawback provision of SOX applies only when restatement actually filed. http://tinyurl.com/8u9v7b #
By Securities Docket on December 29, 2008, 11:44 pm
In this Bloomberg video, former SEC attorney Ron Geffner discusses the imminent disclosure of assets by Bernard Madoff (Dec. 31 deadline), and the broader possible impact of the Madoff case on the SEC as an institution.
By Securities Docket on December 29, 2008, 9:47 pm
The ongoing financial crisis caused global IPO issuance to come to a near halt in mid-2008, and that steep decline has continued through the end of 2008. A December 2008 report from Renaissance Capital on the state of the global and US IPO market shows some stunningly weak numbers, including: Globally, the average new issue […]
By Securities Docket on December 29, 2008, 5:31 pm
One of the exciting features we are adding to Securities Docket in 2009 is the new Securities Litigation and Enforcement Channel. The Securities Litigation and Enforcement Channel will be the home for a series of regular webcasts that we will kick off on January 6, 2009, and continue going forward. Our first webcast will be […]
By Securities Docket on December 29, 2008, 7:41 am
On December 12, 2008, U.S. District Judge Jean Hamilton (E.D. Mo.) ruled that the “clawback” provision of Section 304 of the Sarbanes-Oxley Act of 2002 only applies where an accounting restatement actually is filed. The court found that it is not enough that an accounting restatement should have been filed because of a company’s material […]