News & Analysis as of

Insider Trading Enforcement Foreign Corrupt Practices Act (FCPA)

Proskauer - Corporate Defense and Disputes

SEC Enforcement Director and SDNY/EDNY Officials Address Enforcement Priorities

SEC Division of Enforcement Director Gurbir Grewal and several high-ranking officials from the U.S. Attorney’s Offices for the Southern and Eastern Districts of New York and the FBI spoke on November 29, 2022 at a conference...more

Nutter McClennen & Fish LLP

Nutter Securities Enforcement Update: March 1, 2022

The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges. ...more

Morgan Lewis

SEC Speaks 2017

Morgan Lewis on

Commission staff highlight key developments and successes in the SEC enforcement program. As they do every year, senior officials from the US Securities and Exchange Commission (SEC or the Commission), including current...more

King & Spalding

Viewpoints - Issue 24 - A Dialogue with Andrew Ceresney

King & Spalding on

On October 7, 2015, members of the Lead Director Network (LDN) were joined by chief legal officer and general counsel (GC) guests in Washington, DC, for a discussion with Andrew Ceresney, director of the Division of...more

Dorsey & Whitney LLP

This Week In Securities Litigation (Week ending July 18, 2014)

Dorsey & Whitney LLP on

The SEC’s insider trading probe regarding the House Ways and Means Committee and a senior staff member, also involves 44 investment funds and other entities, according to a Bloomberg news report citing recently filed court...more

Dorsey & Whitney LLP

This Week In Securities Litigation (Week ending July 11, 2014)

Dorsey & Whitney LLP on

The unblemished record of the Manhattan U.S. Attorney’s Office in insider trading cases came to an end this week with the acquittal of Rengan Rajaratnam, brother of the convicted Galleon Fund founder. This is the first loss...more

Mintz - Securities & Capital Markets...

What Are the Regulators Thinking?

Recently the New England Chapter of the National Association of Corporate Directors presented a distinguished panel of current and former securities regulators discussing enforcement and governance issues facing boards of...more

Dorsey & Whitney LLP

This Week In Securities Litigation (Week ending April 4, 2014)

Dorsey & Whitney LLP on

High speed trading and insider trading were key topics this week. Author Michael Lewis released a new book on high speed trading and, in an interview claimed the markets are “rigged.” The Commission focused on insider...more

Dorsey & Whitney LLP

This Week In Securities Litigation (The week ending January 10, 2014)

Dorsey & Whitney LLP on

The insider trading trial of former SAC Capital official Matthew Martoma opened this week in Manhattan with jury selection. The SEC announced the resignation of George Canellos, Co-director of the Division of Enforcement....more

Dorsey & Whitney LLP

The SEC: The Future Path of Enforcement (Conclusion)

Dorsey & Whitney LLP on

Parts I and II of this series looked back at select cases brought by the Commission during 2013. Part III considered the projected path of SEC Enforcement based on remarks by members of the Commission and new initiatives....more

Dorsey & Whitney LLP

The SEC: The Future Path of Enforcement

Dorsey & Whitney LLP on

SEC Enforcement is in transition. The agency has a new Chair, new Commissioners and a new Director of the Division of Enforcement. Aggressive new approaches have been outlined, building on the notion that the enforcement...more

Skadden, Arps, Slate, Meagher & Flom LLP

"SEC Enforcement in the Second Term of the Obama Administration"

As the second term of the Obama administration begins, the SEC is experiencing a profound leadership transition, with the departures of agency Chair Mary Schapiro; Director of Enforcement Robert Khuzami; its general counsel;...more

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