News & Analysis as of September 24, 2024

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Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk... more +

Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk management, global regulations, data protection, leaks, hacking, cyber insurance, compliance, HIPAA, and every other aspect of cybersecurity of import to corporate readers right now. less -

Key Considerations for the 2024 Annual Reporting Season: Your Upcoming Form 20-F and other FPI-Specific Considerations

White & Case LLP on 1/26/2024

This memorandum outlines key considerations from White & Case's Public Company Advisory Group for foreign private issuers ("FPIs") during the 2024 annual reporting season, divided into two sections: Form 20-F Housekeeping...more

Corporate Communicator - 2024 Annual Meeting Season

Snell & Wilmer on 1/2/2024

Clawback Rules. As previously discussed in last Winter’s Corporate Communicator, the Securities and Exchange Commission (“SEC") adopted final rules in October 2022 directing the NYSE and Nasdaq to adopt listing standards that...more

Public Company Watch: October 2023

Paul Hastings LLP on 10/20/2023

In the October edition of our Public Company Watch, we cover key issues impacting public companies, including the SEC adopting rules modernizing beneficial ownership reporting and short sale reporting, and issuing new C&DIs...more

New SEC Cybersecurity Rules Require Mandatory Disclosure

Dorsey & Whitney LLP on 9/8/2023

On July 26, 2023, the Securities and Exchange Commission adopted new rules imposing disclosure requirements regarding cybersecurity risk management, strategy, governance and incidents. The new rules, which became effective...more

Key Actions for Public Companies under the SEC's New Cybersecurity Rules

Venable LLP on 9/5/2023

On July 26, 2023, the Securities Exchange Commission (SEC) adopted a final rule intended to augment and standardize disclosures regarding cybersecurity risk management, governance, and incident reporting. The new rule imposes...more

SEC Updates for the Upcoming 2022 Annual Reports on Form 10-K and Form 20-F

Seward & Kissel LLP on 2/7/2023

The U.S. Securities and Exchange Commission (the “SEC”) has adopted amendments and updated disclosure requirements that are to be included in a reporting company’s annual report on Form 10-K or 20-F. The SEC has also proposed...more

Cybersecurity Preparedness and the Growing Importance of Operational Resiliency

Pillsbury Winthrop Shaw Pittman LLP on 8/18/2020

Creation of a new rapid response team signals regulators may turn today’s cyber examination priorities into tomorrow’s enforcement priorities. The Securities and Exchange Commission, New York State Department of Financial...more

Legal Update: 10 Tips for 10-Ks and Proxy Statements (UPDATED)

Mayer Brown Free Writings + Perspectives on 1/21/2020

With the 2020 proxy and annual reporting season upon us, this Legal Update provides 10 tips for companies to consider when drafting annual reports on Form 10-K and proxy statements for filing with the US Securities and...more

SEC Announces Modification to Timing for Filing Non-Public Form N-PORT Data to Mitigate Cybersecurity and Data Sensitivity...

Dechert LLP on 3/14/2019

To address data sensitivity concerns, the Securities and Exchange Commission on February 27, 2019 issued an interim final rule (Interim Rule) that requires certain registered investment companies (funds) to file three monthly...more

SEC Names First Chief Risk Officer

Pillsbury - Internet & Social Media Law Blog on 3/14/2019

On the heels of a January 2019 announcement that it was charging nine persons with participation in a scheme that allowed them to hack into the SEC’s confidential database of public filings, commonly known as EDGAR....more

SEC Modifies Form N-PORT Filing Timeline

A&O Shearman on 3/7/2019

In what will be a welcome reprieve, the Securities and Exchange Commission eased compliance burdens for most mutual funds, ETFs and closed-end funds to file portfolio holdings reports on Form N-PORT. The SEC pushed back the...more

A Closer Look: SEC’s Edgar Hacking Case

Patterson Belknap Webb & Tyler LLP on 2/13/2019

Last month, the U.S. Securities and Exchange Commission charged nine defendants with hacking into the agency’s EDGAR system – the online platform used by public companies for making their public filings – and stealing...more

Civil and Criminal Charges Filed in SEC Hacking

Morgan Lewis on 1/25/2019

As we previously discussed, nobody is safe from cybersecurity threats, and as our colleagues last reported, the US Securities and Exchange Commission (SEC) has heightened its cybersecurity scrutiny, issuing an investigative...more

SEC Files Complaint Against Hacker, Traders in EDGAR Data Breach Case

Alston & Bird on 1/21/2019

The Securities and Exchange Commission has filed a Complaint against eight traders, one alleged hacker, and others, in connection with a previously disclosed cybersecurity attack that infiltrated the SEC’s EDGAR system in...more

Securities and Corporate Governance Update – May 2018

BCLP on 5/29/2018

This newsletter discusses noteworthy updates, key regulatory decisions and upcoming compliance reminders. You are welcome to contact us to discuss any of the topics....more

Cybersecurity Enforcement and Regulation - 2017 In Review

Moore & Van Allen PLLC on 3/29/2018

Cyber attacks continue to be a pervasive and destructive threat to all institutions and the legal and regulatory landscape currently in place to address those threats continues be reshaped in an effort to address those...more

CyberSECurity – The SEC Increases Data and System Protection Work

Locke Lord LLP on 12/29/2017

The U.S. Securities and Exchange Commission is at the center of the current day “cyber storm” of data and system protection, both as a victim and as a regulator. According to an SEC director, “[c]yber-related threats and...more

SEC Announces Delay in Form N-PORT Filing Requirements

Dechert LLP on 12/15/2017

The U.S. Securities and Exchange Commission (SEC) on December 8, 2017 issued a temporary final rule (Temporary Rule) that provides a nine-month delay to the dates by which certain registered investment companies (funds) must...more

SEC Enforcement Division Priorities Pertaining to Retail Investors and Cybersecurity

Dechert LLP on 11/10/2017

In a keynote speech to the Securities Enforcement Forum on October 26, 2017, U.S. SEC Division of Enforcement (Division) Co-Director Stephanie Avakian emphasized the protection of retail investors and cybersecurity as...more

Investment Services Regulatory Update - October 2017

Vedder Price on 10/24/2017

New Rules, Propsed Rules, Guidance and Alerts - SEC STAFF GUIDANCE AND ALERTS - SEC Staff Extends No-Action Relief on Auditor Independence and the “Loan Provision” - On September 22, 2017, the staff of the SEC’s...more

Cybersecurity, Data Breaches Continue to Make Headlines

Manatt, Phelps & Phillips, LLP on 10/19/2017

Cybersecurity continues to make headlines in the financial services industry, from the recent announcement that the Securities and Exchange Commission (SEC) was targeted by hackers to final approval of the settlement in a...more

SEC’s Chairman Makes Changes After the Agency’s Latest Cyber-Attack

Burr & Forman on 10/13/2017

The Securities Exchange Commission (“SEC”) has been busy the last couple months on the cyber front. On September 20, the SEC announced a renewed focus on cybersecurity efforts and disclosed that it had been a victim of a...more

The SEC Gets Hacked: What Now?

Nossaman LLP on 10/10/2017

It was recently revealed that the Securities and Exchange Commission’s (“SEC”) EDGAR database, which is used by public companies to file official documents, was breached. According to the SEC, trading off of that hacked...more

Blog: In Senate Testimony, SEC Chair Offers Insights Into His Thinking On A Variety Of Issues Before The SEC

Cooley LLP on 10/3/2017

In testimony last week before the Senate Committee on Banking, Housing and Urban Affairs, SEC Chair Jay Clayton gave us some insight into his thinking about a number of issues, including cybersecurity at the SEC,...more

SEC Hacked!

Robinson+Cole Data Privacy + Security Insider on 9/28/2017

The Securities and Exchange Commission (SEC) has admitted that it was the victim of a cyberattack in 2016 that exposed information that may have been used for insider trading. The hack involved the SEC’s filing database,...more

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