DWT LLP | Practice Areas: Business Transactions Articles

Hedge Fund Advisers May Be Subject to Controversial New SEC Proposed Rule Requiring Registration [August 2004] read bulletin

Form 8-K Amendments Expand Disclosure Requirements and Accelerate Filing Deadline
[April 2004] read bulletin

Financial and Disclosure Controls and Reporting Under Sections 302 and 404 of the Sarbanes-Oxley Act [June 2003] read bulletin

SEC Implements Attorney Conduct Rules: Redefining the Relationship between Attorneys and their Clients [April 2003] read bulletin

Proposed Sarbanes-Oxley Regulations Will Require Internal Complaint Procedures [March 2003] read bulletin

Leveling the Playing Field - Restricting Executive Stock Trades During Retirement Plan Blackout Periods [March 2003] read bulletin

New SEC Rules Affecting Disclosure of Off-Balance Sheet Arrangements and Aggregate Contractual Obligations [March 2003] read bulletin

Code of Ethics Requirements Under the Sarbanes-Oxley Act [Feb. 2003] read bulletin

Final Sec Rule Regarding Disclosure of Audit Committee Financial Expert Under Section 407 of Sarbanes-Oxley [Feb. 2003] read bulletin

Corporate Governance and Responsibility Update: Recent Developments in SEC Implementation of the Sarbanes-Oxley Act [Dec. 2002] read bulletin

Corporate Oversight and Accounting Reform: An Overview of the Sarbanes-Oxley Act of 2002
[July 2002] read bulletin

A Brief Guide to Corporate Compliance Issues Under the Sarbanes-Oxley Act of 2002
[July 2002] read bulletin

SEC PRESS RELEASE:
On May 8, 2002, the Securities and Exchange Commission approved proposed changes to the rules of the National Association of Securities Dealers and the New York Stock Exchange to address conflicts of interest that are raised when research analysts recommend securities in public communications. These conflicts can arise when analysts work for firms that have investment banking relationships with the issuers of the recommended securities, or when the analyst or firm owns securities of the recommended issuer. view release

SEC Issues Guidelines for Registrant Self-Reporting of Material Misstatements and Omissions [Dec. 2001]
read bulletin

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© 2005 Davis Wright Tremaine LLP. All rights reserved. This information is provided for your information only and is not intended to constitute professional advice as to any particular situation. The views expressed in these articles are those of the writer, and do not necessarily represent the views of the firm.