Publications

• SEC Enforcement Action Puts Spotlight on Segment Reporting
  14 December 2016
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Jonathan R. Tuttle
• Failure to Comply with Internal Corporate Processes and Policies May Violate Exchange Act Accounting Provisions
  7 December 2016
  Paul R. Berger
  ,
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
• SEC Complaint Serves as Reminder to Carefully Consider Disclosure Obligations Relating to Government Investigations
  23 September 2016
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Jonathan R. Tuttle
• SEC Approves Interim Final Rule Amending Form 10-K to Allow Filers to Include a Summary Section
  10 June 2016
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Steven J. Slutzky
• SEC Enforcement Actions Getting Up Close And Personal
  1 July 2016 (Vol. 17, No.1)
  Journal of Investment Compliance
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Jonathan R. Tuttle
• Non-GAAP Metrics in the Crosshairs: SEC Issues New Guidance
  19 May 2016
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Steven J. Slutzky
• New PCAOB Rules Require Disclosure of Certain Audit Participants
  19 January 2016
  Matthew E. Kaplan
  ,
  Alan H. Paley
• SEC Issues Guidance on Rule 14a-8(i)(9)
  23 October 2015
  Matthew E. Kaplan
  ,
  Peter J. Loughran
  ,
  Alan H. Paley
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
• SEC Enforcement Actions Getting Up Close and Personal
  23 September 2015
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Jonathan R. Tuttle
• In Omnicare, the Supreme Court Clarifies When Statements of Opinion Are Actionable Under Section 11 of the Securities Act
  26 March 2015
  Matthew E. Kaplan
  ,
  Gary W. Kubek
  ,
  Peter J. Loughran
  ,
  Maeve O'Connor
  ,
  Alan H. Paley
  ,
  Jonathan R. Tuttle
  ,
  Colby A. Smith
  ,
  Bruce E. Yannett
  ,
  Elliot Greenfield
• 2 Developments May Change Shareholder Proposal Responses
  12 February 2015
  Law360
  Alan H. Paley
• Got No-Action Relief? Recent Developments Impact Exclusion of Shareholder Proposals
  20 January 2015
  Alan H. Paley
• ISS and Glass Lewis Publish 2015 Proxy Voting Updates
  12 November 2014
  Alan H. Paley
  ,
  Paul M. Rodel
• ISS Releases Details of Quickscore 3.0; Company Data Verification Period November 3-14
  31 October 2014
  Alan H. Paley
  ,
  Paul M. Rodel
• Planning Ahead for 2015: Key Disclosure Issues for Banking Organizations
  10 October 2014
  Matthew E. Kaplan
  ,
  Satish M. Kini
  ,
  Gregory J. Lyons
  ,
  Alan H. Paley
  ,
  Paul M. Rodel
  ,
  Eric T. Juergens
• Important Lessons Come in Small Packages: SEC Focus on MD&A Trends and Uncertainties Disclosure
  26 September 2014
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Jonathan R. Tuttle
  ,
  Morgan J. Hayes
• SEC Issues Guidance with Respect to Proxy Advisory Firms and Proxy Voting by Investment Advisers
  3 July 2014
  Alan H. Paley
  ,
  Kenneth J. Berman
• PCAOB Adopts New Rules for Scrutiny of Related Party and Similar Transactions
  19 June 2014
  Alan H. Paley
• SEC Will Not Postpone Conflict Minerals Rule
  1 May 2014
  Alan H. Paley
  ,
  Paul M. Rodel
• SEC Focuses on “Gatekeepers” in Recent Enforcement Actions
  23 April 2014
  Alan H. Paley
  ,
  Jonathan R. Tuttle
• Good News on ‘Bad Actors’
  6 March 2014
  PE Manager
  Kenneth J. Berman
  ,
  Alan H. Paley
  ,
  Jonathan Adler
• NYSE Section 303A Written Affirmation Updated for New Compensation Committee Standards
  24 January 2014
  Alan H. Paley
• SEC Releases Form SD for Conflict Minerals Disclosure
  23 January 2014
  Alan H. Paley
  ,
  Paul M. Rodel
• Good News on "Bad Actors"
  Fall 2013
  Jonathan Adler
  ,
  Kenneth J. Berman
  ,
  Alan H. Paley
• Regulation FD: Recent Charges Underscore Importance of Compliance Culture
  10 September 2013
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Jonathan R. Tuttle
• SEC Adopts JOBS Act Rules Eliminating Ban on General Solicitations in Certain Private Offerings
  17 July 2013
  Michael P. Harrell
  ,
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Kenneth J. Berman
• SEC Adopts JOBS Act Rule Eliminating Ban on General Solicitations in Certain Private Offerings
  10 July 2013
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Steven J. Slutzky
  ,
  Paul M. Rodel
  ,
  Michael P. Harrell
  ,
  Kenneth J. Berman
• SEC Issues Guidance on Conflict Minerals with One Year to Go
  13 June 2013
  Alan H. Paley
• Got Financing? You May Have to Extend Your Tender Offer
  23 April 2013
  The Harvard Law School Forum on Corporate Governance and Financial Regulation
  Andrew L. Bab
  ,
  David A. Brittenham
  ,
  Matthew E. Kaplan
  ,
  Alan H. Paley
• SEC’s Division of Trading and Markets Delivers a Message to Private Fund Sponsors about Potential Broker-Dealer Registration Issues
  18 April 2013
  Kenneth J. Berman
  ,
  Michael P. Harrell
  ,
  Byungkwon Lim
  ,
  Alan H. Paley
• Got Financing? You May Have to Extend Your Tender Offer
  5 April 2013
  Andrew L. Bab
  ,
  David A. Brittenham
  ,
  Matthew E. Kaplan
  ,
  Alan H. Paley
• Blogs, Facebooking and Tweeting: May Be Public Enough for Regulation FD
  4 April 2013
  Matthew E. Kaplan
  ,
  Alan H. Paley
• Nasdaq Proposes to Require Internal Audit Function
  28 March 2013
  Alan H. Paley
• SEC Reporting Companies Must Disclose Certain Iran-related Activities
  5 March 2013
  Westlaw Journal - Securities Litigation & Regulation
  Matthew E. Kaplan
  ,
  Satish M. Kini
  ,
  Peter J. Loughran
  ,
  Alan H. Paley
  ,
  Carl Micarelli
• NYSE Simplifies Notice Requirements
  24 January 2013
  Peter J. Loughran
  ,
  Alan H. Paley
• SEC Reporting Companies Must Disclose Certain Iran-Related Activities
  15 January 2013
  Matthew E. Kaplan
  ,
  Satish M. Kini
  ,
  Peter J. Loughran
  ,
  Alan H. Paley
  ,
  Carl Micarelli
• JOBS Act Rule Eliminating the Ban on General Solicitations in Certain Private Offerings Is Proposed
  31 August 2012
  Kenneth J. Berman
  ,
  Michael P. Harrell
  ,
  Matthew E. Kaplan
  ,
  Alan H. Paley
• PCAOB Tees Up Questions For Audit Committees To Ask Auditors About Audit Inspections
  13 August 2012
  Matthew E. Kaplan
  ,
  Peter J. Loughran
  ,
  Alan H. Paley
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
• Duty To Disclose SEC Wells Notices Rejected By Judge
  31 July 2012
  The Harvard Law School Forum on Corporate Governance and Financial Regulation
  Paul R. Berger
  ,
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
• Southern District of New York Judge Rejects Claims Alleging a Duty to Disclose SEC Wells Notices
  3 July 2012
  Paul R. Berger
  ,
  Colby A. Smith
  ,
  Alan H. Paley
  ,
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
• Testing The Waters
  May 2012
  International Financial Law Review
  Matthew E. Kaplan
  ,
  Alan H. Paley
• It’s Raining “JOBS”—President Signs the “JOBS” Act into Law
  5 April 2012
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Peter J. Loughran
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
• It's Raining 'JOBS' - President Signs The 'JOBS' Act Into Law
  April 2012
  International Securities & Capital Markets Newsletter
  Matthew E. Kaplan
  ,
  Peter J. Loughran
  ,
  Alan H. Paley
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
• Senate Agrees with House on Need for Capital Formation Reform and Passes the "JOBS" Act
  23 March 2012
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Peter J. Loughran
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
• Capital Formation Reform Pushed into Overdrive by the “JOBS” Act
  9 March 2012
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Peter J. Loughran
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
• SEC to Review Limits on Shareholders in Private Companies
  8 April 2011
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Steven J. Slutzky
• Speaking of Your Proxy: SEC Proposes “Say-On-Pay” Rules
  27 October 2010
  Alan H. Paley
  ,
  Elizabeth Pagel Serebransky
• Funding, Liquidity and Short Term Borrowing: Time to Revisit MD&A Disclosure
  4 October 2010
  Securities Regulation & Law
  Alan H. Paley
  ,
  Paul M. Rodel
  ,
  Joshua M. Samit
• Funding, Liquidity and Short-Term Borrowings: Time to Revisit MD&A Disclosure
  23 September 2010
  Alan H. Paley
  ,
  Paul M. Rodel
  ,
  Joshua M. Samit
• The Financial Institutions Report
  Volume 4, Number 7, July 2010
  Wolcott B. Dunham, Jr.
  ,
  Satish M. Kini
  ,
  Nicholas F. Potter
  ,
  Byungkwon Lim
  ,
  Emilie T. Hsu
  ,
  Lawrence K. Cagney
  ,
  Alan H. Paley
  ,
  Kenneth J. Berman
  ,
  Paul L. Lee
  ,
  Gregory J. Lyons
• SEC Issues Guidance on Corporate Disclosure of Climate Change Risks
  11 February 2010
  Alan H. Paley
  ,
  Peter J. Loughran
  ,
  Stuart Hammer
• SEC Proposes Rule Amendments to Permit Pre-Filing Communications by Underwriters on Behalf of WKSIs
  21 January 2010
  Matthew E. Kaplan
  ,
  Alan H. Paley
• Preparing for XBRL
  15 January 2010
  Alan H. Paley
  ,
  Matthew E. Kaplan
  ,
  Peter J. Loughran
  ,
  Steven J. Slutzky
• Disclosing Climate Change Risks in SEC Filings
  5 January 2010
  Alan H. Paley
  ,
  Peter J. Loughran
  ,
  Stuart Hammer
• Have You Been Naughty or Nice? Confessing to Risky Compensation Structures (and Other New SEC Disclosure Rules)
  January 2010
  The M&A Lawyer
  Lawrence K. Cagney
  ,
  Jonathan F. Lewis
  ,
  Elizabeth Pagel Serebransky
  ,
  Alan H. Paley
• Have You Been Naughty or Nice? Confessing to Risky Compensation Structures (and Other New SEC Disclosure Rules)
  23 December 2009
  Lawrence K. Cagney
  ,
  Elizabeth Pagel Serebransky
  ,
  Jonathan F. Lewis
  ,
  Alan H. Paley
• SEC Approves Amendments to Certain New York Stock Exchange Corporate Governance Requirements
  11 December 2009
  Alan H. Paley
• New York Stock Exchange Proposes to Amend Certain Corporate Governance Requirements
  25 September 2009
  Alan H. Paley
• SEC Releases Section 13 Compliance and Disclosure Interpretations
  16 September 2009
  William D. Regner
  ,
  Jeffrey J. Rosen
  ,
  Alan H. Paley
  ,
  Paul S. Bird
• Tweeting, Blogging and Social Networking
  21 April 2009
  The Daily Deal
  Alan H. Paley
  ,
  Paul M. Rodel
• Tweeting, Blogging and Posting Company Disclosure: Time to Update Your Disclosure Policies?
  15 April 2009
  Alan H. Paley
  ,
  Paul M. Rodel