In this edition of the newsletter, we discuss enforcement developments at the agencies in October 2024. The SEC filed 41 actions and the CFTC filed three, against a combined total of 90 d...
Companies continue to have their hands full addressing new disclosure mandates against the backdrop of an active SEC enforcement agenda. We address related disclosure implications and oth...
The SEC announced settled enforcement actions against several victims of the SolarWinds hack, alleging that they downplayed the extent to which they were impacted by the intrusions. The a...
The SEC announced the settlement of enforcement actions against seven companies, stemming from the use of employment and related agreements that allegedly violated Dodd-Frank whistleblowe...
A court rendered a mixed result in the SEC’s SolarWinds litigation. The court declined to dismiss the SEC’s claims that a website “Security Statement” overstated the strength of S...
In SEC v. Jarkesy, the Supreme Court held that the SEC must bring fraud claims seeking penalties in federal court instead of administrative proceedings because defendants are entitled to ...
The SEC expanded the scope of the Safeguards Rule, which already required broker-dealers, investment advisers and investment companies to have reasonably designed policies and procedures ...
2023 was an active year in public company enforcement by the U.S. Securities and Exchange Commission, with several first-of-their-kind actions. The SEC looked past traditional financial p...
After receiving board approval to buy back stock under a 10b5-1 plan, a company interpreted Rule 10b5-1 in a manner with which the SEC disagreed. The SEC did not allege that the company t...
Webinar
1.0 CA - General; NY - Professional Practice / Practice Management
Please join us as we review key developments from the first half of the year and the outlook for the second half in anti-corruption and FCPA enforcement and related areas. Topics will inc...
