October 2017 SEC/SRO Update

October 1, 2017

SEC Adopts Interpretive Guidance on Pay Ratio Rule; Hedge Fund Adviser Charged for Inadequate Controls to Prevent Insider Trading; SEC Charges Former Amazon Employee with Insider Trading; Hester Peirce and Robert Jackson Nominated to Fill Open SEC Commissioner Positions


About Davis Graham & Stubbs LLP

Davis Graham & Stubbs LLP, one of the Rocky Mountain region’s preeminent law firms, serves clients nationally and internationally, with a strong focus on corporate finance and governance, mergers and acquisitions, natural resources, environmental law, real estate, and complex litigation. Our lawyers have extensive experience working with companies in the energy, mining, technology, hospitality, private equity, manufacturing, asset management, and aviation industries. As the exclusive member firm in Colorado for Lex Mundi, the world’s leading network of independent law firms, DGS has access to in-depth experience in 100+ countries worldwide.