Publications

Searched Practice: Securities Reporting & Compliance

"SEC Adopts Say-on-Pay Rules," Covington Advisory (1/26/2011)
David Engvall Co-Author

"Dodd-Frank Act: Dodd-Frank Beefs Up SEC and CFTC Enforcement," Covington Advisory (7/21/2010)
David Kornblau Co-Author, David Bayless Co-Author, Jake Freed Co-Author

"Financial Regulatory Reform Legislation - Executive Compensation and Corporate Governance," Covington E-Alert (5/24/2010)
David Engvall Co-Author, David Martin Co-Author

"Financial Services Regulatory Reform Legislation," Covington Advisory (3/16/2010)
David Martin Co-Author, David Engvall Co-Author

"SEC Ushers in New Season for Climate Change Disclosure," Covington Advisory (1/28/2010)
David Martin Co-Author

"Important Changes for the 2010 Proxy Season and Beyond (Updated)," Covington Advisory (1/5/2010)
David Martin Co-Author, David Engvall Co-Author, Keir Gumbs Co-Author

"Say-on-Pay and Compensation Committee Legislation-And More," Covington E-Alert (7/20/2009)
David Martin Co-Author, David Engvall Co-Author, Stuart Stock Co-Author, Matthew Franker Co-Author

"SEC Nixes Broker Voting In Director Elections," Covington Advisory (7/1/2009)
David Martin Co-Author, David Engvall Co-Author

"Obama Administration Outlines Executive Compensation Reform Plans," Covington E-Alert (6/10/2009)
Stuart Stock Co-Author, David Martin Co-Author, David Engvall Co-Author, Mark Plotkin Co-Author, Keith Noreika Co-Author, Michael Nonaka Co-Author

"SEC Proposes Adoption of "Shareholder Access" Rule," Covington Advisory (5/21/2009)
David Engvall Co-Author, David Martin Co-Author, Keir Gumbs Co-Author

"Information You Can Use − SEC Requires Financial Information in XBRL Format," Covington Advisory (2/3/2009)
David Martin Co-Author, David Engvall Co-Author

"The Economic Downturn’s Effect on Executive Compensation Practices and Disclosure," Covington E-Alert (11/21/2008)
David Engvall Co-Author

"Company Web Sites and the Securities Laws," Covington Advisory (8/22/2008)
David Martin Co-Author, David Engvall Co-Author, Ingrid Rechtin Co-Author

"Disclosure Implications of Fair Value Accounting and the Subprime Mortgage Crisis," 40th Annual Institute on Securities Regulation (August 2008)
David Martin

"Company Websites and the Securities Laws," 40th Annual Institute on Securities Regulation (August 2008)
David Martin

"Disclosure Implications of Fair Value Accounting and the Subprime Mortgage Crisis," Covington Advisory (7/30/2008)
David Martin Co-Author

"Electronic Proxy Delivery: SEC Adopts Amendments to “Notice and Access” Rules," Covington Advisory (8/15/2007)
Keir Gumbs Co-Author

"Retooling the Internal Control Process - A Welcome Relief," Insights (August 2007)
David Martin Co-Author, David Engvall Co-Author

"Considering Director Independence," Covington Advisory (7/12/2007)
David Martin Co-Author, Michael Riella Co-Author

"Retooling the Internal Control Process -- A Welcome Relief," Covington Advisory (7/2/2007)
David Engvall Co-Author, David Martin Co-Author

"New SEC Rules for Foreign Company Deregistration," Covington Advisory (4/6/2007)
David Martin Co-Author, Jack Bodner Co-Author

"Electronic Proxy Delivery: SEC Adopts "Notice and Access" Rules," Covington Advisory (3/19/2007)
David Martin Co-Author, David Engvall Co-Author, Keir Gumbs Co-Author

"SEC Staff Response to Hewlett-Packard Opens the Door For Shareholder Access Proposals," Corporate Counsel Weekly (02/07/2007)
Keir Gumbs Co-Author

"Going Dark From a Deal: Exiting the Reporting System After Completion of a Merger," Insights (February 2007)
W. Andrew Jack Co-Author, Keir Gumbs Co-Author

"SEC Amends Disclosure Rules for Stock-Based Compensation," Covington Advisory (12/28/2006)
David Martin Co-Author, David Engvall Co-Author

"New Securities Law Disclosures and Listing Standards for 2007," Covington Advisory (12/19/2006)
David Martin Co-Author, David Engvall Co-Author, Carey Roberts Co-Author

"Shareholder Proposals," 28th Annual Institute on Proxy Statements, Annual Meetings and Critical Corporate Disclosures (December 2006)
Keir Gumbs

"New Executive Compensation Disclosure Rules," Covington Advisory (8/23/2006)
David Martin Co-Author, David Engvall Co-Author, Keir Gumbs Co-Author, Michael Riella Co-Author

"SEC Adopts Sweeping Changes to Executive Compensation Disclosure Rules," Covington Advisory (7/27/2006)
David Engvall Co-Author, David Martin Co-Author

"Upcoming Changes to NASDAQ®," Covington Advisory (6/27/2006)
David Engvall Author

"Term Sheets and Other Communications after Securities Offering Reform," Insights (March 2006)
Bruce Bennett Co-Author

"SEC Rejects Company's Argument That Majority Voting Policy Substantially Implements Majority Vote Shareholder Proposal," BNA Corporate Counsel Weekly (1/18/2006)
David Martin Co-Author, Keir Gumbs Co-Author

"Exchange Act Reporting Update," Covington Advisory (1/9/2006)
David Martin Co-Author, Keir Gumbs Co-Author, Michael Riella Co-Author

"Interview with Keir D. Gumbs, Esq.: Navigating the SEC No-Action Request Process: How to Avoid Common Problems With Shareholder Proposals," Corporate Counsel Weekly (11/30/2005)
Keir Gumbs

"Securities Registration: Will Free Writing Prospectuses Be Used?," Insights: The Corporate & Securities Law Advisor (October 2005)
David Martin Co-Author, Keir Gumbs Co-Author

"A Breath of Fresh Air: The SEC Adopts Securities Offering Reform Amendments," Covington Advisory (7/26/2005)
David Martin Co-Author, Bruce Bennett Co-Author, Keir Gumbs Co-Author

"In Search of Internal Control - A Mid-Course Correction?," BNA Corporate Accountability Report (7/8/2005)
David Martin Co-Author, David Engvall Co-Author

"In Search of Internal Control - A Mid-Course Correction?," Covington Advisory (6/16/2005)
David Martin Author

"Securities Registration: Understanding Succession Under The Federal Securities Laws," Insights: The Corporate & Securities Law Advisor (April 2005)
Keir Gumbs

"Hedge Fund Managers: Summary and Implications of New Rules Requiring SEC Registration," Journal of Investment Compliance (March 2005)
Carolyn Taylor Author

"New Securities Law Disclosures in 2004 - U.S. and Foreign Private Issuers," Covington Advisory (11/1/2004)
David Martin Co-Author, D. Michael Lefever Co-Author, Kerry Burke Co-Author

"New Deferred Compensation Legislation: Corporate and Securities Law Issues for Companies Amending Compensation Plans and Arrangements," Covington Advisory (10/29/2004)
David Martin Co-Author

"Hedge Funds: SEC Proposes to Require Hedge Fund Adviser Registration," BNA Securities Regulation & Law (9/6/2004)
David Martin Co-Author, Carolyn Taylor Co-Author

"Protection for Whistleblowers Under the Sarbanes-Oxley Act," BNA Corporate Accountability (8/13/2004)
David Martin Co-Author, Barbara Hoffman Co-Author

"SEC Proposes to Require Hedge Fund Adviser Registration," Covington Advisory (8/5/2004)
David Martin Co-Author, Carolyn Taylor Co-Author

"An Expanding and Accelerating Universe: Securities Law Disclosures in 2004," Benefits Practice Center, Executive Compensation Library, Journal Reports: Law and Policy (BNA) (August 2004)
Kerry Burke Co-Author, David Martin Co-Author

"SEC Alleges Another Fair Disclosure Violation Against Siebel Systems, Along with Lack of Disclosure Controls," Covington Report (7/2/2004)

"SEC Expands Form 8-K Requirements and Shortens Filing Deadline," Covington Advisory (4/6/2004)
David Martin Author

"A New Standard for Auditing Internal Control Over Financial Reporting," Covington Advisory (3/26/2004)
David Martin Co-Author, David Engvall Co-Author

"The SEC's New MD&A Interpretive Release," Covington Report (2/12/2004)
Bruce Bennett

"New NYSE and Nasdaq Corporate Governance Listing Standards," Covington Advisory (2/12/2004)
David Martin Co-Author, David Engvall Co-Author

"New Securities Law Disclosures in 2004: Forms 10-K, 10-Q and 8-K and Proxy Statement," Covington Advisory (1/12/2004)
David Martin Co-Author, Kerry Burke Co-Author, D. Michael Lefever Co-Author