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SEC Renews its Enforcement Focus—With Vigor—on Accounting Issues (Quorum, March 2014)

In the wake of Mary Jo White’s appointment as the new Chair of the Securities and Exchange Commission, the SEC’s Division of Enforcement has sought to aggressively investigate alleged accounting violations. ...more

3/27/2014 - Compliance Enforcement Fraud Mary Jo White SEC

Mary Jo White and the New SEC: Implications for Boards (Quorum, March 2014)

The new Chair of the Securities and Exchange Commission, Mary Jo White, has indicated that the agency will implement new and aggressive enforcement policies, while treading lightly in its rulemaking efforts....more

3/27/2014 - Board of Directors Compliance Corporate Counsel Corporate Governance Mary Jo White SEC

Will Independent Directors Be on the Hook for Failure of Internal Controls in FCPA Cases?

The Foreign Corrupt Practices Act ("FCPA" or "the Act") prohibits bribery of foreign public officials in order to obtain or retain business. In addition to its anti-bribery provisions, the FCPA contains accounting provisions...more

7/16/2013 - Anti-Corruption Audits Bribery Compliance DOJ FCPA GAAP Independent Boards Internal Controls SEC

The SEC's New Policy on Seeking Admissions in Settlements

On June 18, 2013, in comments to the Wall Street Journal CFO Network Conference in Washington, D.C., SEC Chairman Mary Jo White announced that the Securities and Exchange Commission will begin to press for admissions of...more

7/1/2013 - Enforcement Actions Mary Jo White Neither Admit Nor Deny Settlements SEC Settlement

SEC Issues Guidance on Conflict Minerals Rule

On May 30, 2013, the Securities and Exchange Commission issued guidance related to the requirement that issuers disclose the use of conflict minerals in their products, as mandated by the 2010 Dodd-Frank Wall Street Reform...more

6/11/2013 - Compliance Conflict Mineral Rules Dodd-Frank Failure-to-File Reporting Requirements SEC Subsidiaries

A Brief Primer for Corporate Social Media Disclosures in Light of the SEC’s Recent Guidance on Regulation FD

The Securities and Exchange Commission ("Commission" or "SEC") recently stepped into the social media age with its April 2, 2013 Report of Investigation pursuant to 21(a) of the Securities Exchange Act of 1934 concerning a...more

4/9/2013 - Facebook Investors Netflix Public Disclosure Reed Hastings Regulation FD SEC Social Media

District Court Denies Mark Cuban Summary Judgment in SEC’s Insider Trading Case

On March 5, 2013, the United States District Court for the Northern District of Texas issued a Memorandum Opinion and Order in the case Securities and Exchange Commission v. Mark Cuban, denying Cuban's motion for summary...more

3/15/2013 - Insider Trading Mamma.com Inc Mark Cuban Misappropriation PIPEs SEC Summary Judgment

Supreme Court Rejects SEC's Position Concerning Statute of Limitations in Securities Fraud Actions

On February 27, 2013, the Supreme Court of the United States issued its decision in Gabelli v. SEC, holding that, in an action by the government for civil penalties, the five-year statute of limitations provided by 28 U.S.C....more

3/5/2013 - Discovery Rule Fraud Gabelli v SEC Investment Advisers Act of 1940 SCOTUS SEC Statute of Limitations

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