SEC Rule 10b5-1 plans have long provided an effective means for corporate insiders to buy and sell their own company’s securities without fear of civil or criminal insider trading liability, but these plans have come under...more
6/25/2021
/ Administrative Orders ,
Disclosure Requirements ,
EDGAR ,
Enforcement Actions ,
Good Faith ,
Insider Trading ,
Internal Controls ,
Proposed Legislation ,
Rule 10b-5 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Trading Plans ,
Transparency
The global COVID-19 pandemic, severe weather events, and the social unrest unleashed in the United States over the past year have amplified the role of Environmental, Social and Governance (“ESG”) as a driving factor in...more
The United States Securities and Exchange Commission wrapped up its fiscal year on September 30, 2019 with a flurry of enforcement actions filed in the final weeks of the month. These cases will provide fodder for analysis...more
10/11/2019
/ Accounting Controls ,
CEOs ,
Corporate Structures ,
Disclosure Requirements ,
Enforcement Actions ,
Executive Compensation ,
False Claims Act (FCA) ,
Financial Reporting ,
GAAP ,
Misleading Statements ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC) ,
Settlement Agreements
On February 21, 2018, the Securities and Exchange Commission (“SEC”) published interpretive guidance on public company cybersecurity disclosures. While the new guidance confirms the SEC’s intensified focus on cybersecurity...more