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Securities

• Securities Exchanges Propose New Compensation Committee Rules After SEC Mandate

  by Andrew J. Merken
        Josef B. Volman
  (Securities Law Update)
  November 2012
  
  

• New SEC Disclosure Rules Target Use of “Conflict Minerals” and Payments to Governments for Resource Extraction

  by Andrew J. Merken
        Josef B. Volman
  (Securities Law Update)
  October 2012
  
  

• Legislation Targeting Iran and Syria Mandates New Reports by Public Companies

  by Andrew J. Merken
        Josef B. Volman
  (Securities Law Update)
  September 2012
  
  

• SEC Proposes to Lift Bans on General Solicitation and Advertising Pursuant to JOBS Act

  by Andrew J. Merken
        Josef B. Volman
  (Securities Law Update)
  September 2012
  
  

• All quiet on the IPO front? Facebook flop bolsters need for ‘quiet period’ reform

  by Josef B. Volman
  (Thomson Reuters News & Insight)
  May 2012
  
  

• JOBS Act Makes It Easier to Raise Capital

  by Andrew J. Merken
        Josef B. Volman
  (Securities Law Update)
  April 2012
  
  

• Generating Investment Income, But at What Price?

  (ABA's Experience Magazine - Volume 21, Number 3)
  2011
  
  

• SEC’s Disclosure Guidance on Cybersecurity and European Sovereign Debt Exposure

  by Andrew J. Merken
        Josef B. Volman
  (Securities Law Update)
  February 2012
  
  

• Amended SEC Rules Mandate New Mine Safety Disclosures

  by Andrew J. Merken
        Josef B. Volman
  (Securities Law Update)
  January 2012
  
  

• SEC Adopts New Standards for “Accredited Investor” Status

  by Andrew J. Merken
        Josef B. Volman
  (Securities Law Update)
  January 2012
  
  

• SEC Approves Tougher Listing Standards for Reverse Merger Companies

  by Andrew J. Merken
        Josef B. Volman
  (Securities Law Update)
  December 2011
  
  

• SEC Re-Opens Door to Shareholder Proposals for Proxy Access

  by Andrew J. Merken
        Josef B. Volman
  (Securities Law Update)
  November 2011
  
  

• SEC Adopts New Regulatory Scheme for Investment Advisers

  by Andrew J. Merken
        Josef B. Volman
  (Securities Law Update)
  September 2011
  
  

• SEC Proposes ‘Bad Actor’ Bars to Certain Private Securities Offerings

  by Andrew J. Merken
        Josef B. Volman
  (Securities Law Update)
  June 2011
  
  

• SEC Adopts Rules for New Whistleblower Program

  by Andrew J. Merken
        Josef B. Volman
  (Securities Law Update)
  June 2011
  
  

• SEC Proposes New Listing/Disclosure Rules For Compensation Committees/Advisers

  by Andrew J. Merken
        Josef B. Volman
  (Securities Law Update)
  April 2011
  
  

• SEC Adopts Final “Say-on-Pay” Rules and Proposes Amendments to “Accredited Investor” Standards

  by Andrew J. Merken
        Josef B. Volman
  (Securities Law Update)
  March 2011
  
  

• SEC Proposes Rules for Shareholder Voting on Executive Compensation and Golden Parachute Disclosure

  by Andrew J. Merken
        Josef B. Volman
  (Securities Law Update)
  November 2010
  
  

• SEC Adopts Proxy Access Rules

  by Andrew J. Merken
        Josef B. Volman
  (Securities Law Update)
  September 2010
  
  

• A Complete Board Primer on the Dodd-Frank Act, Proxy Access and Winning the 2011 Proxy Season

  (http://www.theboardplace.com/BoardInfoOnDodd-FrankAct.html)
  September 2010
  
  

• SEC Undertakes Proxy System Overhaul

  by Andrew J. Merken
        Josef B. Volman
  (Securities Law Update)
  August 2010
  
  

• Summary of Corporate Governance Changes in the Dodd-Frank US Financial Regulatory Reform Act

  (Securities Law Update)
  July 2010
  
  

• FINRA Issues Notice Reminding Broker-Dealers of Their Investigation Obligations in Regulation D Offerings

  (Securities Law Update)
  June 2010
  
  

• SEC Requires New Compensation, Governance and Risk-Related Disclosures

  by Andrew J. Merken
        Josef B. Volman
  (Securities Law Update)
  December 2009
  
  

• SEC Approves Proposed Changes to NYSE Corporate Governance Requirements

  by Andrew J. Merken
        Josef B. Volman
  (Securities Law Update)
  December 2009
  
  

• SEC Proposes Amendments to Notice and Access Requirements Under E-Proxy Rules

  by Andrew J. Merken
        Josef B. Volman
  (Securities Law Update)
  October 2009
  
  

• NYSE Proposes Changes to Corporate Governance Requirements

  by Andrew J. Merken
        Josef B. Volman
  (Securities Law Update)
  September 2009
  
  

• SEC Approves Elimination of Discretionary Proxy Voting by Brokers in Elections of Directors

  by Andrew J. Merken
        Josef B. Volman
  (Securities Law Update)
  August 2009
  
  

• SEC Proposes New Compensation and Governance Disclosures

  by Andrew J. Merken
        Josef B. Volman
  (Securities Law Update)
  August 2009
  
  

• SEC Seeks to Expand Director Nomination Process

  by Andrew J. Merken
        Josef B. Volman
  (Securities Law Update)
  July 2009
  
  

• SEC Mandates Electronic Tagging of Financial Disclosures

  by Andrew J. Merken
        Josef B. Volman
  (Securities Law Update)
  March 2009
  
  

• Reminder: New Electronic Filing Requirement for Form D takes full effect March 16, 2009

  by Andrew J. Merken
        Josef B. Volman
        Tal M. Unrad
  (Securities Law Update)
  March 2009
  
  

• Protecting the Attorney-Client Privilege When Drafting SEC Filings

  by Andrew J. Merken
        Josef B. Volman
        Alison R. Harrall
  (Securities Law Update)
  February 2009
  
  

• SEC Amends Foreign Issuer Reporting

  (Securities Law Update)
  November 2008
  
  

• Auction Rate Securities – The Erosion Of Customer Trust In Investment Professionals

  (Focus [page 2])
  Fall 2008
  
  

• Reminder: Form D Changes Effective September 15, 2008; Mandatory Electronic Filing Commences March 16, 2009

  (Securities Law Update)
  October 2008
  
  

• SEC Provides Guidance Regarding Company Web Sites

  by Andrew J. Merken
        Josef B. Volman
  (Securities Law Update)
  September 2008
  
  

• Stock Market Delisting and Its Consequences

  
  2001
  Matthew Dallett and Donald Ellis' article was included in program materials for Massachusetts Continuing Legal Education’s Annual Business and Securities Law Conference.
  

• SEC Moves to Mandate XBRL - Electronic Tagging of Financial Statements

  by Andrew J. Merken
        Josef B. Volman
  (Securities Law Update)
  June 2008
  
  

• SEC Opens The Door To Electronic Shareholder Forums

  by Andrew J. Merken
        Josef B. Volman
  (Securities Law Update)
  March 2008
  
  

• SEC Liberalizes Resales of Restricted Securities By Amending Rules 144 and 145

  by Stephen D. Brook
       J. Fraser Collin
  (Securities Law Update)
  January 2008
  
  

• SEC Identifies Executive Compensation Disclosure Deficiencies

  by Andrew J. Merken
        Josef B. Volman
  (Securities Client Update)
  October 2007
  
  

• SEC Amends Rules Regarding "Notice and Access" Model for Proxy Solicitation and Disclosure

  by Andrew J. Merken
        Josef B. Volman
  (Securities Client Update)
  August 2007
  
  

• SEC Provides Guidance/Rules for Sarbanes-Oxley Section 404 Financial Controls

  by Andrew J. Merken
        Josef B. Volman
  (Securities Client Update)
  July 2007
  
  

• SEC Mandates New Executive Compensation Disclosures

  (Securities Law Update)
  September 2006
  
  

• What's New for the 2006 Proxy Season

  by Andrew J. Merken
  (Focus [Page 1 and Page 2])
  June 2006
  
  

• Director Exculpation Under Massachusetts Law - Red Flags and Dereliction of Duty

  (Focus [Page 4])
  June 2006
  
  

• SEC Proposal Targets Executive Compensation Disclosures

  by Andrew J. Merken
  (Securities Update)
  March 2006
  
  

• New SEC Rules Target Abuses Involving Shell Companies

  (Securities Law Update)
  September 2005
  
  

• SEC Adopts Wide Ranging Reforms

  (Securities Law Update)
  August 2005
  
  

• The New 8-K Disclosure Rules Are Far-Reaching

  by Andrew J. Merken
  (New England In-House)
  July 2004
  
  

• Real-Time Issuer Disclosure: The Brave New World of the New 8-K Rules

  by Andrew J. Merken
  (Mass High Tech)
  June 14-20, 2004
  
  

• SEC Issues MD&A Interpretive Guidance

  (Securities Law Update)
  January 2004
  
  

• Stock Options - Under Attack! Again

  by Andrew J. Merken
  (Focus)
  Winter 2004
  
  

• New NYSE and Nasdaq Rules for Stockholder Approval of Equity Compensation Plans

  (Securities Law Update)
  July 2003
  
  

• Sarbanes-Oxley Act of 2002

  (Securities Law Update)
  August 2002
  
  

• SEC Adopts Amendments To Broker-Dealer Books and Records Rules

  by Andrew J. Merken
  (The Metropolitan Corporate Counsel)
  January 2002