News & Analysis as of September 18, 2024

Cybersecurity › Dodd-Frank Wall Street Reform and Consumer Protection Act › Securities and Exchange Commission (SEC)

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Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk... more +

Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk management, global regulations, data protection, leaks, hacking, cyber insurance, compliance, HIPAA, and every other aspect of cybersecurity of import to corporate readers right now. less -

Regulatory Update and Recent SEC Actions - April 2023

Blank Rome LLP on 4/17/2023

REGULATORY UPDATES - Recent SEC Leadership Changes - On January 10, 2023, the Securities and Exchange Commission (the “SEC”) announced the appointment of Cristina Martin Firvida as director of the Office of the Investor...more

SEC Enforcement: 2022 Year in Review

Pillsbury Winthrop Shaw Pittman LLP on 1/30/2023

On the heels of record-breaking enforcement in 2022, expect continued aggressive pursuit of Chair Gensler’s priorities in 2023. The SEC will continue to bring its considerable resources to bear to address ESG-related...more

SEC Proposes Changes to Private Fund Regulation

Goodwin on 2/11/2022

In This Issue. The U.S. Securities and Exchange Commission (SEC) proposed changes to private fund regulation; the Office of the Comptroller of the Currency (OCC) succeeded in validating its “valid-when-made” rulemaking; the...more

SEC offers another packed agenda for Fall 2021

Cooley LLP on 12/15/2021

The SEC’s new Fall reg-flex agenda is posted and, no surprise, it’s packed. Here is the short-term agenda and here is the long-term version. And just as with the spring agenda, Commissioners Hester Peirce and Elad Roisman...more

Third Circuit Confirms Limits on Scope of Protected Activity Under SOX

Proskauer - Whistleblower Defense on 8/18/2020

On July 16, 2020, the Third Circuit affirmed the dismissal of a former IT analyst’s whistleblower retaliation claim, holding that he lacked an objectively reasonable belief that his complaints implicated one of the enumerated...more

Bridging The Week - January 2020 #4

Katten Muchin Rosenman LLP on 2/4/2020

The Commodity Futures Trading Commission proposed to revise its position limits regime by increasing to 25 (from nine) the number of commodity derivatives contracts subject to federal limits; by augmenting the number of...more

Legal Update: 10 Tips for 10-Ks and Proxy Statements (UPDATED)

Mayer Brown Free Writings + Perspectives on 1/21/2020

With the 2020 proxy and annual reporting season upon us, this Legal Update provides 10 tips for companies to consider when drafting annual reports on Form 10-K and proxy statements for filing with the US Securities and...more

Cross-Border Investigations Update - September 2019

Skadden, Arps, Slate, Meagher & Flom LLP on 10/3/2019

This issue of Skadden’s semiannual Cross-Border Investigations Update takes a close look at recent cases, regulatory activity and other key developments, including a review of the first year of GDPR enforcement, analysis of...more

Bridging the Weeks - July 2019 #4

Katten Muchin Rosenman LLP on 7/23/2019

The Commodity Futures Trading Commission and the Securities and Exchange Commission brought separate enforcement actions against the portfolio manager of a hedge fund for mismarking valuations of interest rate swaps in order...more

The FinTech Revolution: How Data Breaches Can Result in Regulatory Enforcement Actions

Blank Rome LLP on 9/14/2018

This is the fifth installment in a series of articles. For more background on this topic, please read our first article in the series, An Introduction to Financial Technology; our second article, The FinTech Revolution:...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 3/9/2018

Looking Out for Main Street: SEC Focuses on Retail, Cybersecurity and Cryptocurrency - The Commissioners and senior officials of the Securities and Exchange Commission ("SEC" or "Commission") addressed the public on...more

Financial Services Weekly News - February 2018 #3

Goodwin on 3/1/2018

Editor's Note - Consumer Finance 2017 Year in Review. Year 2017 brought leadership change at the Consumer Financial Protection Bureau (CFPB), turnover at various regulatory agencies, the continued rise of state-level...more

SEC Enforcement in Financial Reporting and Disclosure—2017 Year-End Update

Jones Day on 2/1/2018

2017 will most likely be remembered as a year of transition, as the Securities and Exchange Commission’s enforcement actions indicate, at least in the near term, an emphasis on specific initiatives and retail investor...more

Preparation for 2017 Fiscal Year-End SEC Filings and 2018 Annual Shareholder Meetings

Mintz on 2/1/2018

As our clients and friends know, each year Mintz Levin provides an analysis of the regulatory developments that impact public companies as they prepare for their fiscal year-end filings with the Securities and Exchange...more

Priorities Begin to Emerge for Trump’s SEC

Skadden, Arps, Slate, Meagher & Flom LLP on 1/25/2018

The actions that Securities and Exchange Commission (SEC) Chairman Jay Clayton has taken since the start of his tenure in May 2017 provide an indication of SEC priorities, including encouraging initial public offerings (IPOs)...more

Top 10 Topics for Directors in 2018

Akin Gump Strauss Hauer & Feld LLP on 12/13/2017

EXECUTIVE SUMMARY - 1. Cybersecurity threats. Cybersecurity preparedness is essential in 2018 as the risk of, and associated adverse impact of, breaches continue to rise. The past year redefined the upward bounds of the...more

Matters to Consider for the 2018 Annual Meeting and Reporting Season

Skadden, Arps, Slate, Meagher & Flom LLP on 12/4/2017

Companies have important decisions to make as they prepare for their 2018 annual meeting and reporting season. We have prepared a checklist of key corporate governance, executive compensation and disclosure matters on which...more

The Numbers Don’t Lie: The SEC Pursues a More Streamlined Enforcement Agenda

Sheppard Mullin Richter & Hampton LLP on 11/30/2017

One of the most eye-catching items in the recently released 2017 Annual Report of the Enforcement Division of the Securities and Exchange Commission (SEC or the Commission) is the significant decline in enforcement activity...more

SEC Enforcement Division Releases 2017 Annual Report as Industry Looks Ahead to 2018

Dechert LLP on 11/29/2017

Stephanie Avakian and Steven Peikin, the new Co-Directors of the U.S. SEC Enforcement Division (“Division”), released a report on November 15, 2017, summarizing the Division’s enforcement activity for the fiscal year ending...more

SEC and States Are Upping Their Cyber Game, Are You Doing the Same?

Eversheds Sutherland (US) LLP on 10/9/2017

September 2017 saw no respite from the relentless pace of cyber developments, not only from the perspective of rapidly evolving attacks, but also from the perspective of dynamic federal and state regulatory moves. In...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 2/24/2017

Financial Industry Developments - New York Department of Financial Services Promulgates First-in-the-Nation State Cybersecurity Regulation - On February 16, 2017, the New York Department of Financial Institutions...more

Key Legal Issues Business Leaders and In-House Counsel Need to Know for 2017

Arnall Golden Gregory LLP on 1/26/2017

1. With Wage and Hour Rules in Flux, Employers Need to Remain Vigilant - Expanding wage and hour obligations will continue to be a top concern for employers in 2017. As most employers are aware, in May 2016, the United...more

Back to the Future: 2017 [Expect Focus Life Insurance – December 2016]

Carlton Fields on 1/9/2017

- Should Your Company Purchase Bitcoin to Pay a Cyber Ransom? - NAIC Draws Line in CFPB Sandbox - NAIC’s Big Data Task Force Sets Charges for 2017 - Broker-Dealers Can Hold Customers’ Initial Checks ...more

The Year In Review: SEC Enforcement Actions Against Investment Advisers

K&L Gates LLP on 12/9/2016

The Securities and Exchange Commission’s enforcement program is highly focused on investment advisers for an obvious reason: they manage more than $67 trillion in assets for approximately 30 million clients. In addition,...more

Emerging Trends Newsletter - Q3

Stinson LLP on 10/17/2016

We are thrilled to bring you the third installment of Stinson Leonard Street's Emerging Trends newsletter. We are proud of the depth and breadth of experience and knowledge across our firm's 13 offices nationwide and are...more

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