SEC Updates

New Paper Finds a Pattern of Preferential Treatment in SEC Enforcement Against Large Broker-Dealers

Introduction May 19, 2010 – A recent scholarly paper by Stavros Gadinis, a Lecturer and Post-Graduate Fellow at Harvard Law School, investigates long-held concerns that the SEC provides preferential treatment to “large and well-known investment houses,” compared to small broker-dealers.  Gadinis,
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NEW SEC PROXY REVIEW INITIATIVE ANNOUNCED

February 5, 2010– In anticipation of the 2010 proxy season, the staff of the SEC’s Division of Corporation Finance has announced a new proxy statement review initiative and related more assertive staff positions to accompany new substantive disclosure items. New
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SEC EASES RULE 144 RESTRICTIONS

In December, the Securities and Exchange Commission (SEC) adopted certain amendments to Rule 144 designed to increase the liquidity of privately held securities and decrease the cost of capital for all companies while maintaining investor protection. The new rules, which
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  • News

    • KLMR’s Maycock Included Among Mountain States Super Lawyers KLMR’s Ellen Maycock was included on the 2011 Super Lawyers’... Read More »
    • KLMR Attorney Plays at Utah State Bar’s Pro Bono Jam On Friday, October 28, 2011, Barry Scholl, an associate attorney... Read More »
    • KLMR’s Nielson Co-authors New Survey on Genetic Privacy Laws The Journal of Health and Life Sciences Law published Genetic... Read More »
 

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