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New SEC Leadership Signals Continued Focus on FDA-Related Disclosures

Lawyers inside and outside the US Securities and Exchange Commission (SEC) have speculated that the agency’s new leadership will take a “lighter touch” when it comes to enforcement. The ultimate approach of the new SEC...more

SEC Settlements Signal Increased Scrutiny of Cybersecurity Disclosures

On October 22, 2024, the US Securities and Exchange Commission (SEC, or Commission) brought settled actions against four publicly traded companies that were downstream victims of the Russia-linked cyberattack on SolarWinds...more

SEC Fines Director for Failing to Disclose Close Friendship With Senior Executive

In a novel enforcement action, the US Securities and Exchange Commission (SEC) charged a member of the board of directors of a New-York-Stock-Exchange (NYSE)-listed manufacturer of personal and household products for...more

SEC Fines Director for Failing to Disclose Close Friendship With Senior Executive

In a novel enforcement action, the US Securities and Exchange Commission (SEC) charged a member of the board of directors of a New-York-Stock-Exchange (NYSE)-listed manufacturer of personal and household products for...more

SEC Faces Headwinds in SolarWinds Cybersecurity Litigation, but Public Companies and CISOs Still Under Scrutiny

On July 18, 2024, Judge Paul A. Engelmeyer in the US District Court for the Southern District of New York issued a 107-page opinion dismissing most of the claims against software company SolarWinds and its chief information...more

Supreme Court: Pure Omissions Cannot Support Rule 10b-5(b) Liability

On April 12, 2024, the Supreme Court of the United States unanimously held in Macquarie Infrastructure Corp. v. Moab Partners, L.P. that pure omissions are not actionable under Rule 10b-5(b), promulgated by the US Securities...more

[Webinar] 2023 Enforcement Outlook Series | SEC Enforcement: Recent Trends and What to Expect - October 26th, 12:00 pm - 1:00 pm...

As we enter the final quarter of 2023, the US Securities and Exchange Commission (SEC) continues to maintain an aggressive enforcement agenda. Looking ahead to 2024, companies should expect more of the same. In this webinar,...more

[Webinar] 2022 Enforcement Outlook Series: Focus On SEC Enforcement - June 21st, 12:00 pm - 1:00 pm EDT

To help you stay up-to-date on the enforcement trends impacting your compliance strategy, McDermott is pleased to invite you to the 2022 Enforcement Outlook webinar series, which covers key areas of enforcement on the second...more

SEC Survives Challenge in First Action Alleging “Shadow Trading"

On January 14, 2022, the US District Court for the Northern District of California denied an individual defendant’s motion to dismiss in SEC v. Panuwat, an insider trading case accusing a former pharmaceutical company...more

Log4j: Enforcement Risk for Public Companies

The Apache Log4j vulnerability continues to command significant attention throughout the public and private sectors. In a recent interview, the director of the US Cybersecurity and Infrastructure Security Agency (CISA)...more

SEC Charges SPAC, Sponsor, Merger Target and CEOs for Misleading Disclosures

On July 13, 2021, the US Securities and Exchange Commission (SEC) announced charges against a special purpose acquisition company (SPAC), the SPAC’s sponsor, the SPAC’s proposed merger target and two executives for allegedly...more

Observations from the Enforcement Directors at SEC’s Annual Conference

Enforcement Co-Directors Stephanie Avakian and Steven Peikin recently addressed notable enforcement decisions, actions and trends affecting public companies and regulated entities. On April 8 and 9, 2019, the US Securities...more

SEC Expands Emphasis on Cybersecurity with Cyber Fraud Report

The SEC has released a new report on cyber fraud, suggesting that public companies that fail to implement appropriate preventative measures risk violating the internal accounting control provisions of the Exchange Act....more

SEC Whistleblower Update

The Supreme Court recently clarified the scope of SEC whistleblower retaliation provisions. Though the decision limits retaliation actions, employers should continue to avoid conduct that can be interpreted as retaliation...more

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