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Observations on Risk Management Practices during the Recent Market Turbulence (March 2008)

United States

Form 10-Q - Quarterly Report Pursuant to Sections 13 or15(d) of the Securities and Exchange Act of 1934 (Exchange Act), General Instructions
Sarbanes-Oxley 'Ax', The (2005)
SEC, Final Rule - Exemption from Registration Under Section 12(g) of the Securities Exchange Act of 1934 for Foreign Private Issuers (2008)
SEC Votes to Modernize Disclosure Requirements to Help U.S. Investors in Foreign Companies (2008)
SEC, Investment Advisor Codes of Ethics, Final Rule (2004)
SEC, Final Rule, Smaller Reporting Company Regulatory Relief and Simplification (2008)
SEC, Final Rule - Acceptance From Foreign Private Issuers of Financial Statements Prepared in Accordance With International Financial Reporting Standards Without Reconciliation to U.S. GAAP (2008)
SEC, Staff Observations in the Review of Executive Compensation Disclosure, Executive Summary (2007)
SEC, Executive Pay Finder
SEC Targets Executive Compensation Disclosure (2007)
SEC - Final Rule: Amendment to Rule 4-01(a) of Regulation S-X Regarding the Compliance Date for Statement of Financial Accounting Standards No. 123 (Revised 2004), Share-Based Payment
SEC, Regulation S-K: Standard Instructions for Filing Forms
Securities Law 360 Newsletter for Litigators and Compliance Professionals
SEC, Field Offices Integrity Program (2005)
SEC, Spotlight On: Internal Control Reporting Provisions
Sarbanes-Oxley Sections 302 & 404: A White Paper Proposing Practical, Cost Effective Compliance Strategies (April 2003)
SEC, Integrated Disclosure System for Small Business Issuers
SEC, Final Rule - Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002
SEC Final Rule: Management's Report on Internal Control over Financial Reporting Implementing SOX Section 404 (2003)
SEC, Code of Ethics
PCAOB 2007-02, Form 19b-4, Proposed Rules Filing with the SEC (2007)
NASD and NYSE Rulemaking: Relating to Corporate Governance (November 4, 2003)
SEC: Consolidated Audit Trail, Proposed Rule (June 2010)
Dodd-Frank Act mandates new corporate governance and executive compensation requirements (July 2010)
Implementation of the Wall Street and Consumer Protection Act: Deadlines Created by the Statute for Select Regulatory Milestones
SEC, Mutual Fund Distribution Fees; Confirmations - Proposed Rule (August 2010)
SEC Issues Proposed Rules on Say-on-Pay Voting and Disclosures (2010)
SEC, Proposed Rule: Shareholder Approval of Executive Compensation and Golden Parachute Compensation (2010)
SEC Adopts Rules for Say-on-Pay and Golden Parachute Compensation as Required Under Dodd-Frank Act (January 2011)
SEC, Risk Management Controls for Brokers or Dealers With Market Access (Final Rule, 2010)
SEC, Shareholder Approval of Executive Compensation and Golden Parachute Compensation (Final Rule, 2011)
Incentive-Based Compensation Arrangements, Proposed Rule (April 14, 2011)
SEC, Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Auditing Standards Related to the Auditor’s Assessment of and Response to Risk and Related Amendments to PCAOB Standards (2010)
SEC: Public Company Accounting Oversight Board; Order Approving Proposed Rules on Auditing Standards Related to the Auditor’s Assessment of and Response to Risk and Related Amendments to PCAOB Standards (2010)
SEC, Work Plan for the Consideration of Incorporating International Financial Reporting Standards into the Financial Reporting System for U.S. Issuers: Exploring a Possible Method of Incorporation (May 2011)
SEC Adopts Final Rules on Dodd-Frank Whistleblower Program (June 2011)
SEC Proposes Ways to Strengthen Audits and Reporting of Broker-Dealers to Protect Customer Assets (June 2011)
SEC, Office of the Whistleblower Website
SEC, Securities Whistleblower Incentives and Protections (2011, Final Rule)
Credit Risk Retention, Notice of Proposed Rulemaking (2011)
Dodd-Frank Act’s Whistleblower Bounty Provision – A Primer (2011)
SEC, Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants (2011)
SEC, Prohibition Against Conflicts of Interest in Certain Securitizations (Proposed Rule, 2011)
SEC Jointly Proposes Prohibitions and Restrictions on Proprietary Trading (2011)
SEC, Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act
SEC Adopts New Short Form Criteria to Replace Credit Ratings (July 2011)
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds, Proposed Rule (November 2011)