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Broken Windows Strategic Enforcement Plan

Latham & Watkins LLP

Private Equity Fund Managers: Takeaways From The SEC’s Past Year in Enforcement

Latham & Watkins LLP on

After a year of “first ever” actions targeting private equity, fund managers should be vigilant, even about seemingly small issues. In reviewing the results of SEC Enforcement’s fiscal year that ended on September 30,...more

Cooley LLP

Blog: More “Broken Windows” Enforcement From The SEC?

Cooley LLP on

Yesterday, the SEC announced that it had sanctioned ten companies (generally, smaller reporting companies traded on OTC Link) for failing to make required Form 8-K disclosures related to financings and unregistered stock...more

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