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December 2011 Client Alerts

January 30, 2012

Authors

Bryan Cave Leighton Paisner

December 2011 Client Alerts

January 30, 2012

by: Bryan Cave Leighton Paisner

SEC and FINRA Issue Guidance on Broker Dealer Branch Inspections

Broker-Dealers who face inspections from regulators should take heed of recent guidance provided by the two principal securities regulatory agencies.  The regulators are the Financial Industry Regulatory Authority (“FINRA”) and the SEC’s Office of Compliance Inspections and Examinations.  Their jointly issued “National Examination Risk Alert” offers guidance on policies and procedures that broker-dealers should consider for branch office inspection programs.  To learn more, please click here to read the Alert published by the White Collar Defense & Investigations and Securities Litigation & Enforcement Client Service Groups on December 13,

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May 2011 Client Alerts

June 23, 2011

Authors

Bryan Cave Leighton Paisner

May 2011 Client Alerts

June 23, 2011

by: Bryan Cave Leighton Paisner

Federal Judge in Missouri Dismisses Legal Challenge to Health Care Reform

The Judge in the U.S. District Court for the Eastern District of Missouri, Southeastern Division, entered an order dismissing a lawsuit filed by Lt. Gov. Peter Kinder that challenged the Patient Protection and Affordable Care Act.  Kinder et al v. Geithner et al. was filed in July 2010 by Kinder, joined in by six other Missouri residents, as a private citizen after the state’s attorney general declined to join other states in challenging the health care law.  To read more about the order in this case, please click here

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Client Alerts December 2010

January 11, 2011

Authors

Jeannie Osborne

Client Alerts December 2010

January 11, 2011

by: Jeannie Osborne

IRS Issues Guidance Expanding and Modifying 409A Correction Program and New Reporting Requirements for Stock Transfers under ISOs and ESPPs

The IRS issued Notice 2010-80 (the “Notice”), which made favorable changes to the procedures for voluntary correction of failures to comply with Internal Revenue Code Section 409A (“Section 409A”) originally issued in Notice 2010-6. These changes should make the correction procedures more accessible and less burdensome.  For a summary of the changes, please click here to read the Executive Compensation Update published by the Employee Benefits and Executive Compensation Client Service Group on December 7, 2010.

Virginia Federal Court Rules

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October 2010 Client Alerts

November 2, 2010

Authors

Jeannie Osborne

October 2010 Client Alerts

November 2, 2010

by: Jeannie Osborne

IRS Has Announced its 2011 Cost-of-living Adjustments for Retirement Plans

On October 28 the IRS issued a press release announcing its 2011 cost-of-living adjustments for retirement plans.  For a chart reflecting the qualified plan limits for years 2008-2011, please click here to see the Employee Benefits & Executive Compensation Group’s Client Alert published October 28, 2010.

SEC Issues Proposed “Say-on-Pay” and “Golden Parachute” Rules

The SEC has released its proposed “say-on-pay” and related golden parachute rules to implement the provisions of Dodd-Frank set forth in new Section 14A of the Securities Exchange Act of 1934.  The comment period will close on November 18,

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September 2010 Client Alerts

October 7, 2010

Authors

Jeannie Osborne

September 2010 Client Alerts

October 7, 2010

by: Jeannie Osborne

Check It Out and Check It Off:  2010 and 2011 Group Health Plan Checklist

Several new laws and regulations from 2010 require significant design changes to group health plans and impose new notice requirements on plan sponsors.  For a checklist of the major changes which require implementation in 2010 or 2011 as well as a listing of enrollment and annual notices that group health plan sponsors should consider during open enrollment, please see the Client Alert published by the Employee Benefits & Executive Compensation Client Service Group on September 20, 2010.

New Medicare Enrollment Requirements Will Burden Providers and

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May 2010 Client Alerts

June 9, 2010

Authors

Jeannie Osborne

May 2010 Client Alerts

June 9, 2010

by: Jeannie Osborne

Senate Adopts Corporate Finance and Executive Compensation Provisions in Financial Reform Bill

On May 27, the Senate released the text of the financial reform bill that was passed the prior week.  The bill, known as the “Restoring American Financial Stability Act of 2010” or the “Act,” would result in sweeping reforms to the financial industry.  However, it also contains a number of significant provisions that would affect corporate governance and executive compensation at public companies, as well as Regulation D private placements, whistleblowers and beneficial ownership reporting.  This Corporate Finance and Securities Bulletin outlines some of the more important provisions

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February 2010 Client Alerts

March 1, 2010

Authors

Jeannie Osborne

February 2010 Client Alerts

March 1, 2010

by: Jeannie Osborne

SEC Publishes Interpretive Release on Climate Change Matters

Yesterday, the SEC published its interpretative release regarding disclosure requirements applicable to climate change matters. The release provides guidance on certain existing disclosure rules that may require a company to disclose the impact that business or legal developments related to climate change may have on its business.

For more information, please read the client alert published by Bryan Cave LLP’s Corporate Finance and Securities practice on February 3, 2010.

SEC Amends E-Proxy Rules to Provide Increased Flexibility

Yesterday the SEC approved amendments to the notice and access proxy, or

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October 2009 Client Alerts

October 30, 2009

Authors

Bryan Cave Leighton Paisner

October 2009 Client Alerts

October 30, 2009

by: Bryan Cave Leighton Paisner

FinCEN’s New Bank Secrecy Act Compliance Outreach Initiative Targeted at Depository Institutions With Assets Under $5 Billion

Yesterday FinCEN announced a new outreach initiative targeted at depository institutions with assets under $5 billion. The outreach initiative builds upon knowledge FinCEN previously gained from its meetings with larger financial institutions. As part of its ongoing outreach efforts, FinCEN is now seeking to engage smaller to moderate size depository institutions who are working to implement the four pillars of the Bank Secrecy Act regulatory regime: (1) policies, procedures and internal controls; (2) designation of a compliance officer; (3) ongoing training; and

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Client Alert — June 26, 2009 to July 27, 2009

July 27, 2009

Authors

Bryan Cave Leighton Paisner

Client Alert — June 26, 2009 to July 27, 2009

July 27, 2009

by: Bryan Cave Leighton Paisner

SEC Publishes Proposed New Rules Regarding Compensation and Corporate Governance Disclosure and the Proxy Solicitation Process

On July 10, 2009, the Securities and Exchange Commission (the “SEC” or the “Commission”) published the proposed new rules to enhance compensation and corporate governance disclosure in Items 401, 402 and 407 of Regulation S-K, which we reported earlier in our July 2, 2009 bulletin (available here),

For more information, please read the client alert published by Bryan Cave LLP’s Corporate Finance and Securities Client Service Group on July 17, 2009.

SEC Approves Elimination of Broker Discretionary Voting in Director

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