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For Whom The Whistle Tolls In 2014

Momentum for the SEC’s Dodd Frank whistleblower program is growing, and 2014 can be expected to bring continued expansion of the program and the number and types of whistleblower actions initiated by the SEC. The SEC’s...more

1/29/2014 - Dodd-Frank Enforcement Actions Retaliation SEC Whistleblower Awards Whistleblowers

Route 506: The General Solicitation Highway

A new route to soliciting direct securities investments has opened. For the first time in 80 years, start-ups and small businesses can broadly advertise and broadly solicit to raise money for private offerings. ...more

10/18/2013 - Crowdfunding Funding General Solicitation JOBS Act Rule 144A Rule 506 Offerings Securities Act of 1933 Small Business Startups

Concerned About NSA Snooping? Perhaps You Should Be More Concerned About The DOJ And SEC

In 2008, Rajat Gupta made a handful of short phone calls to his friend Raj Rajaratnam. The information that Gupta conveyed to Rajaratnam in those phone calls is now likely to cost Gupta millions of dollars, two years in...more

7/24/2013 - Criminal Prosecution DOJ Evidence Fourth Amendment NSA Right to Privacy SEC Warrantless Searches Wiretapping

Does Your Director Have A Guilty Conscience? SEC To Press For More Admissions

Some of the SEC’s enforcement targets are no longer in denial, or at least they won’t be if a recent policy shift at the regulator takes hold. ...more

7/4/2013 - Admissions of Liability Directors Enforcement Mary Jo White SEC

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