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Jan 08,2016

#27: Dodd-Frank 5 Years On

Five years after the inception of Dodd-Frank, N...


Jun 13,2017

The Trump Administration and Compensation

How the New Administration Seeks to Change the ...

Jan 20,2016

Dodd-Frank 5 Years On – The Adventure Continues

Where we have been, where we are, and what is s...

Feb 27,2014

Avoiding Stock Administration Asteroids

Are complex rules and regulations on a collisio...



On June 28, the SEC released amendments to the definition of a “smaller reporting company” that signif...Read More



We're into late March and I'm reminded of the centuries old English proverb: "March comes in like a lion and goes out like a lamb." Somehow I think it's the reverse for the stock plan w...Read More


Swimming with the Sharks

I'm a San Diegoan at heart, and, as I write today, I'm thinking about a picture taken last year on a beautiful beach day. The water was sparkly, reflecting the bright sun. The beaches were fille...Read More

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