
Developments in Securities Regulation, Corporate Governance, Capital Markets, M&A and Other Topics of Interest. MORE

Tom Jensen


Some Ruminations on the JOBS Act’s Regulation D Provisions
By Tom Jensen on

More SEC Color on Current Investment Advisers Issues
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Dodd-Frank vs. Reality
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Will Whistleblower Claims Give Rise to More SEC Enforcement Actions?
By Tom Jensen on

FINRA to SEC: “No Need to Reinvent the Wheel”
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FINRA Ups the Retail Customer Disclosure Ante
By Tom Jensen on

SEC Publishes Golden Parachute Rule Release
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Sarbanes-Oxley Prevents Indemnification for Clawback Claims – Dodd-Frank Implications
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President Obama Signs First Amendment to Dodd-Frank Into Law
By Tom Jensen on