Susan Resley

Susan Resley

Morgan Lewis

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SEC and FINRA Publish Materials Addressing Cybersecurity

Twin reports provide a roadmap to best practices. U.S. financial markets and participants, much like other segments of the U.S. economy, are prime targets for technological hacks, intrusions, and breaches that can occur...more

2/13/2015 - Broker-Dealer Compliance Cyber Attacks Cybersecurity Data Breach Data Protection FINRA Investment Adviser OCIE SEC

There’s No Place Like Home: SEC Increasingly Uses Administrative Proceedings

Stung by adverse court rulings in some of its enforcement cases, the SEC is bringing more of those cases in its own forum—an SEC administrative proceeding. ...more

12/22/2014 - Administrative Hearings Due Process Enforcement Actions Equal Protection SEC

SEC Targets Corporate Insiders for Failing to Promptly Disclose Stock Transactions

The Commission has announced an unprecedented enforcement initiative against officers, directors, and major stockholders for violating beneficial ownership reporting requirements and against public companies for their roles...more

9/19/2014 - Beneficial Owner Corporate Officers Directors Disclosure Requirements Publicly-Traded Companies Reporting Requirements SEC Securities Exchange Act Shareholders Strategic Enforcement Plan

SEC Hosts Roundtable on Cybersecurity Issues and Challenges

Participants recognize the importance of board oversight and risk disclosures. On March 26, the U.S. Securities and Exchange Commission (SEC) hosted a roundtable to discuss cybersecurity and the issues and challenges...more

4/1/2014 - Board of Directors Cybersecurity Data Protection Disclosure Oversight Committee Roundtable SEC

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