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...
View ArticleIn 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...
View ArticleA 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...
View ArticleStock 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....
View ArticleRetail, 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...
View ArticleFederal 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...
View ArticleSEC 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...
View ArticleBuilding 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...
View ArticleFund 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...
View ArticleDo 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....
View Article13 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...
View ArticleSEC, 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...
View ArticleCourt’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...
View ArticleDOJ 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...
View ArticleThe 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...
View ArticleThe 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...
View ArticleActing 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...
View ArticleMetamorphosis: 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...
View ArticleThe 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...
View ArticlePublic 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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