January 20, 2010

Dave & Marty on Compliance, Risk, Ordinary Business and Heavy Metal

In this podcast, Dave Lynn and Marty Dunn engage in a lively discussion regarding compliance, risk and heavy metal – not necessarily in that order.

Redlined: Changes to S-K Items 401, 402, and 407

Thanks to Luke Frutkin of Frost Brown Todd, we have posted redlined versions of Items 401, 402 and 407 of Regulation S-K – which account for the recent SEC rule changes. We have also posted a Word version of the new Item 5.07 of Form 8-K (note that the SEC’s PDF of Form 8-K doesn’t include this new item yet).

Whistleblower Can Go “De Novo” If DOL Doesn’t Act

A few weeks ago, the Fourth Circuit – in Stone v. Instrumentation Laboratory Company – held that the Sarbanes-Oxley Act’s whistleblower provisions establish a complainant’s right to de novo review in federal district court if the Labor Department does not issue a “final decision” within the statutory 180-day period. This is the first time a court has addressed this issue.

– Broc Romanek