Ann Kim

Hogan Lovells

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Latest Posts › Regulation FD

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SEC brings Regulation FD enforcement action for selective disclosure via social media

On September 26, the SEC announced that it had charged public company DraftKings Inc. with violating Regulation FD, or “Fair Disclosure,” under the Exchange Act. The SEC alleged that the company selectively disclosed...more

10/17/2024 / Disclosure Requirements , Enforcement Actions , Public Disclosure , Regulation FD , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Violations

SEC alleges FD violation for selective disclosure to analysts aimed at reducing consensus revenue estimate

The SEC recently filed a civil suit in federal district court against AT&T, Inc. charging the company with violating Regulation FD in 2016 by selectively disclosing nonpublic financial estimates and results to sell-side...more

3/26/2021 / Aiding and Abetting , AT&T , Disclosure Requirements , Enforcement Actions , Non-Public Information , Publicly-Traded Companies , Regulation FD , Revenue , Securities and Exchange Commission (SEC) , Securities Violations

SEC enforcement and litigation risks amid the COVID-19 pandemic

In recent weeks, the Co-Directors of the SEC's Enforcement Division warned of the "importance of maintaining market integrity" in these uncertain times. Specifically, they urged public companies to be mindful of Regulation FD...more

4/24/2020 / Coronavirus/COVID-19 , Disclosure Requirements , Enforcement Guidance , Insider Trading , Publicly-Traded Companies , Regulation FD , Securities and Exchange Commission (SEC) , Securities Regulation

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