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A Few Things Directors Should Know About the SEC

Posted by Mary Jo White, Chair, U.S. Securities and Exchange Commission, on Friday, June 27, 2014 Editor's Note: Mary Jo White is Chair of the U.S. Securities and Exchange Commission. This post is...

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In re Lions Gate: Corporate Disclosure of Securities Enforcement

Posted by David M.J. Rein, Sullivan & Cromwell LLP, on Thursday, February 4, 2016 Editor's Note: David M.J. Rein is a partner in the Litigation Group at Sullivan & Cromwell LLP . This post is...

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A New Model for SEC Enforcement: Producing Bold and Unrelenting Results

Posted by Mary Jo White, U.S. Securities and Exchange Commission, on Saturday, November 19, 2016 Editor's Note: Mary Jo White is Chair of the U.S. Securities and Exchange Commission. The following post...

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Stock Trades of SEC Employees

Posted by Shivaram Rajgopal (Columbia Business School) and Roger M. White (Arizona State University), on Monday, November 20, 2017 Editor's Note: Shivaram Rajgopal is the Roy Bernard Kester and T.W....

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Retail, Remedies, Resources and Results: Observations From the SEC...

Posted by Robin Bergen, Matthew Solomon, and Alexis Collins, Cleary Gottlieb Steen & Hamilton LLP, on Saturday, November 24, 2018 Editor's Note: Robin Bergen and Matthew Solomon are partners and...

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Federal Court Injunction Against SEC Prosecution

Posted by John J. Falvey, Jr. and Daniel J. Tyukody, Goodwin Procter LLP, on Sunday, August 30, 2015 Editor's Note: John J. Falvey, Jr. and Daniel J. Tyukody are partners in the Securities Litigation...

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SEC Proposed Amendments to Rules for Administrative Proceedings

Posted by Barry R. Goldsmith, Gibson, Dunn & Crutcher LLP, on Thursday, October 15, 2015 Editor's Note: Barry R. Goldsmith is a partner at Gibson, Dunn & Crutcher LLP. This post is based on a...

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Building Effective Relationships with Regulators

Posted by Norm Champ, Harvard Law School, on Thursday, October 22, 2015 Editor's Note: Norm Champ is a lecturer at Harvard Law School and the former Director of the Division of Investment Management at...

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Fund Advisers and Fee Disclosure in SEC Enforcement Action

Posted by Veronica Rendón Callahan, Arnold & Porter LLP, on Friday, October 30, 2015 Editor's Note: Veronica Rendón Callahan is a partner at Arnold & Porter LLP and co-chair of the firm’s...

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Do You Have to Disclose a Government Investigation?

Posted by Deborah S. Birnbach, Goodwin Procter LLP, on Saturday, April 9, 2016 Editor's Note: Deborah S. Birnbach is a partner in the Litigation & White Collar Defense Group at Goodwin Procter LLP....

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13 Observations about the SEC’s Enforcement Program

Posted by Jonathan N. Eisenberg, K&L Gates LLP, on Monday, April 18, 2016 Editor's Note: Jonathan N. Eisenberg is partner in the Government Enforcement practice at K&L Gates LLP. This post is...

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SEC, Financial Reporting, and Financial Fraud

Posted by Rob Carangelo and Paul Ferrillo, Weil, Gotshal & Manges LLP, on Wednesday, June 1, 2016 Editor's Note: Paul A. Ferrillo is counsel at Weil, Gotshal & Manges LLP specializing in...

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Court’s Limitation of Timetable for SEC’s Claims for Disgorgement

Posted by Brad S. Karp, Paul, Weiss, Rifkind, Wharton & Garrison LLP, on Saturday, July 2, 2016 Editor's Note: Brad S. Karp is chairman and partner at Paul, Weiss, Rifkind, Wharton & Garrison...

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DOJ Declination Letters and the FCPA

Posted by Mark F. Mendelsohn, Paul, Weiss, Rifkind, Wharton & Garrison LLP, on Monday, July 4, 2016 Editor's Note: Mark F. Mendelsohn is a partner at Paul, Weiss, Rifkind, Wharton & Garrison...

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The SEC and Whistleblowers: A Spotlight on Severance Agreements

Posted by John F. Savarese and Wayne M. Carlin, Wachtell, Lipton, Rosen & Katz, on Tuesday, August 23, 2016 Editor's Note: John F. Savarese and Wayne M. Carlin are partners in the Litigation...

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The SEC’s Whistleblower Program: The Successful Early Years

Posted by Andrew Ceresney, U.S. Securities & Exchange Commission, on Monday, September 19, 2016 Editor's Note: Andrew Ceresney is Director of the Division of Enforcement, U.S. Securities and...

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Acting SEC Chair’s Steps to Centralize the Process of Issuing Formal...

Posted by Matthew C. Solomon and Elizabeth (Lisa) Vicens, Cleary Gottlieb Steen & Hamilton LLP, on Monday, March 13, 2017 Editor's Note: Matthew C. Solomon and Elizabeth (Lisa) Vicens are partners...

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Metamorphosis: Digital Assets and the U.S. Securities Laws

Posted by Robert Crea, Anthony Nolan, Eden Rohrer, K&L Gates LLP, on Saturday, July 7, 2018 Editor's Note: Robert Crea is of counsel and Anthony Nolan and Eden Rohrer are partners at K&L Gates...

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The SEC v. Mark Cuban

Posted by Marc I. Steinberg (Southern Methodist University), on Thursday, April 11, 2019 Editor's Note: Marc I. Steinberg is the Radford Professor of Law at Southern Methodist University Dedman School...

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Public Enforcement after Kokesh: Evidence from SEC Actions

Posted by Urska Velikonja (Georgetown University), on Thursday, October 17, 2019 Editor's Note: Urska Velikonja is a Professor of Law at Georgetown University Law Center. This post is based on her...

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