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Wanted: NASAA Representative at the SEC

The Ticker

May 1, 2015

SEC Commissioner Aguilar recently reiterated a request that he introduced in 2009 by calling for a NASAA representative to be embedded at the SEC. 

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More Calls for Transparency in Political Spending Disclosure

The Ticker

May 1, 2015

Last week, a group of 144 business leaders, entrepreneurs, investors and philanthropists petitioned the SEC to require public companies to disclose their political spending.

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Corporate Witness Not Required To Testify Regarding Legal Validity Arguments

IP Intel

May 1, 2015

Magistrate Judge Bowbeer recently granted Plaintiff Polaris Industries Inc.’s motion for a protective order preventing testimony on a Rule 30(b)(6) topic relating to disputed prior art.

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SEC Proposes Pay-For-Performance Rules

The Ticker

May 1, 2015

On Wednesday, the SEC proposed rules to require pay-for-performance disclosure as mandated by the Dodd-Frank Act. The proposal would require companies to include a new table in their proxy statements that shows compensation “actually paid” to top executives, as well as the total shareholder return (TSR), as defined in Regulation S-K, on an annual basis for the company and the peer group selected by the company for its stock performance graph or CD&A. Compensation “actually paid” is derived from the current summary compensation table, except that pension amounts are adjusted and equity awards are considered paid only when vested and are valued as of the vesting date.

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Minnesota: Land of 10,000 Lakes and Oral Hearings

IP Intel

April 29, 2015

Many courts have done away with oral argument on motions. The District of Minnesota, however, continues to holds hearings on dispositive and non-dispositive motions. 

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Patent Infringement in International Waters

IP Intel

April 18, 2015

Does the United States Patent Act apply to a U.S. ship in international waters?

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Potential to Violate Whistleblower Protections in Confidentiality Agreements

The Ticker

April 10, 2015

The SEC recently announced its first enforcement action against a company for requiring employees to sign confidentiality agreements “with the potential to stifle the whistleblowing process.”

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SEC Adopts Regulation A Amendments

The Ticker

April 10, 2015

As mandated by the JOBS Act, the SEC adopted rules to amend Regulation A to facilitate smaller companies’ access to capital.

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SEC Charges Polycom and former CEO With Hiding Perks From Investors

The Ticker

April 10, 2015

Recently, the SEC charged the former CEO of Polycom with using nearly $200,000 in corporate funds for personal perks that were not disclosed to investors.

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SEC Civil Insider Trading Case Proceeds Despite Newman Ruling

The Ticker

April 10, 2015

Ever since the Second Circuit overturned the insider trading convictions of two former hedge fund managers in United States v. Newman, there has been considerable debate about how difficult it may be for the SEC to move forward with insider trading cases.

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