March 2018

Supreme Court Rules That Whistleblowers Must Report to the SEC to Benefit from Dodd-Frank Protections

On February 21, 2018, the U.S. Supreme Court held, in Digital Realty Trust, Inc. v. Somers[1] (“Digital Realty”), that the anti-retaliation protections for whistleblowers under the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“D…

January 2016

SEC Adopts Amendment to Simplify Reporting Requirements for EGCS and SRCS

On January 13, 2016, the Securities and Exchange Commission (SEC) adopted “interim final amendments” to its rules and forms, simplifying certain reporting requirements for emerging growth companies (EGCs) and smaller reporting companies (SRCs), as requ…

November 2015

SEC Adopts Final Crowdfunding Rules

On October 30, 2015, the Securities and Exchange Commission (“SEC”) adopted final crowdfunding rules as required by Title III of the Jumpstart Our Business Startups Act (“JOBS Act”). The proposed crowdfunding rules were released just over two years…

September 2015

SEC Adopts Final Rules on Pay Ratio Disclosure

On August 5, 2015, the Securities and Exchange Commission (SEC) adopted a final rule to implement the “CEO pay ratio” disclosure mandated by Section 953(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act. New Item 402(u) of Regulati…

July 2015

SEC Proposed Rules Regarding Executive Compensation Clawback Policies

On July 1, 2015, the Securities and Exchange Commission (SEC) issued proposed rules that would require national securities exchanges and associations to establish listing standards requiring companies to adopt policies that require executive officers to pa…

April 2015

SEC Adopts Final Rules for “Regulation A+”

On March 25, 2015, following the mandate of Title IV of the Jumpstart Our Business Startups Act (JOBS Act), the Securities and Exchange Commission (SEC) adopted final rules that update and expand Regulation A, which provides an exemption from registration …