News & Analysis as of September 20, 2024

Strategic Enforcement Plan › Insider Trading

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The Strategic Enforcement Plan (SEP) is a strategy developed by the United States Equal Employment Opportunity Commission which 1) establishes priorities for the EEOC and 2) integrates the EEOC's private and public enforcement efforts. The purpose of the SEP is to focus the EEOC's resources to best address discriminatory practices in the workplace. less -

Insider Trading in Commodities Markets: An Evolving Enforcement Priority

Latham & Watkins LLP on 3/11/2021

The CFTC and the DOJ both now pursue enforcement actions against trading in commodities based on misappropriation of confidential information. Among the many changes resulting from the Dodd-Frank Wall Street Reform and...more

Private Funds Litigation/Regulatory Year in Review and 2019 Outlook

Pillsbury Winthrop Shaw Pittman LLP on 3/6/2019

Although the SEC did not bring as many headline enforcement actions against private funds as in years past, it continues to devote substantial resources and attention on investment advisers. The SEC will maintain its...more

This Week In Securities Litigation

Dorsey & Whitney LLP on 12/8/2014

The SEC filed a series of actions in the last two weeks which included a break for the Thanksgiving holiday. One action focused on a Swiss investment firm giving advise in the U.S. without registering with the Commission....more

2014 SEC and FINRA Enforcement Actions Against Broker-Dealers and Investment Advisers

K&L Gates LLP on 12/3/2014

The sheer number of enforcement actions brought against broker-dealers and investment advisers makes it challenging to keep up. In this alert, we divide this year’s most important cases against broker-dealers and investment...more

SEC Settles Insider Trading Case With COO

Dorsey & Whitney LLP on 12/2/2014

The SEC and the DOJ have waged an aggressive battle against insider trading for years, resulting in a string of courtroom victories, guilty pleas and settlements as well as significant sanctions which are supposed to deter...more

SEC Announces Record Number of Enforcement Actions in FY 2014

Katten Muchin Rosenman LLP on 10/29/2014

Last week, the Securities and Exchange Commission provided a summary of its enforcement activities for its fiscal year 2014 (ending in September). The SEC announced that it brought a record 755 enforcement actions and...more

Securities Enforcement Forum 2014 — Directors Panel

Brooks Pierce on 10/16/2014

Yesterday I blogged from the Securities Enforcement Forum 2014, Bruce Carton’s excellent one-day conference, held at the Four Seasons hotel in Washington, D.C. The posts will be fairly raw, and certainly not verbatim...more

SEC Announces Enforcement Initiative for Delinquent Securities Holding and Trading Reporting by Corporate Insiders and Public...

Wilson Sonsini Goodrich & Rosati on 9/17/2014

On September 10, 2014, the Securities and Exchange Commission (SEC) announced charges against 13 officers or directors and 15 major shareholders of publicly traded companies for violating Section 16(a), Section 13(d), and/or...more

SEC Charges Insiders for Violations of Section 16(a) and Section 13

Foley & Lardner LLP on 9/17/2014

On September 10, 2014, the Securities and Exchange Commission announced charges against 28 officers, directors, and major shareholders for violating federal securities laws requiring them to report information about their...more

UK Government Proposes New Insider Dealing Powers in the Wholesale Energy Markets

Dechert LLP on 9/8/2014

The Department of Energy and Climate Change published a Consultation on 6 August 2014 seeking views on its proposals to introduce new criminal offences for insider dealing in and the manipulation of the wholesale energy...more

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Strategic Enforcement Plan › Insider Trading

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