News & Analysis as of September 21, 2024

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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 -

Just In! More Guidance on Material Cybersecurity Incidents (Item 1.05 of Form 8-K)

Bass, Berry & Sims PLC on 6/25/2024

On June 24, the Securities and Exchange Commission (SEC) released five additional Compliance and Disclosure Interpretations for Item 1.05 of Form 8-K (Material Cybersecurity Incidents). These interpretations provide...more

Director of Division of Corporation Finance Issues Guidance on Disclosure of Cybersecurity Incidents under Form 8-K

Troutman Pepper on 6/5/2024

On May 21, 2024, Erik Gerding, the director of the Division of Corporation Finance of the Securities and Exchange Commission (SEC), released a statement containing guidance for public companies regarding the disclosure of...more

[Webinar] New Privacy and Cybersecurity Regulations: What Financial Institutions Need to Know to Stay Compliant - June 13th, 10:00...

Baker Donelson on 6/3/2024

The financial services industry has seen a litany of new data privacy and cybersecurity challenges through the first half of 2024. Financial institutions are facing unprecedented compliance hurdles resulting from the...more

For Limited Use Only: Guidance on National Security Delay Determinations under the SEC Cyber Reporting Rule

Sheppard Mullin Richter & Hampton LLP on 1/22/2024

On December 12, 2023, the Department of Justice (“DOJ”) issued guidance related to the process by which companies may request the United States Attorney General authorize delays of cyber incident disclosures, pursuant to a...more

Public Companies Update: Reminders for the 2024 Form 10-K and Proxy Statement Filing Season

Smith Anderson on 1/19/2024

In this Client Alert, we highlight key considerations public companies should keep in mind when preparing their upcoming annual reports on Form 10-K and proxy statements, including rule changes, recent guidance and reporting...more

FBI, DOJ, and SEC Publish Guidance on Requesting Delayed Reporting of Item 1.05, Material Cybersecurity Incidents, on Form 8-K

Paul Hastings LLP on 1/12/2024

On July 26 2023, the Securities and Exchange Commission (SEC) adopted final rules intended to enhance and standardize disclosures of cybersecurity risk management, strategy, governance, and incident reporting by public...more

The Not-So-Wild West of AI Regulation

Foley & Lardner LLP on 12/27/2023

Over the past year, we have seen the various agencies and branches of government issue a slew of rules, guidance, and directives over the use (and misuse) of Artificial Intelligence (AI). In May, the EEOC issued guidance on...more

Public Company Watch: December 2023

Paul Hastings LLP on 12/22/2023

In the December Public Company Watch, we cover key issues impacting public companies, including a preview of the SEC’s latest regulatory agenda, an update regarding the Fifth Circuit vacating the SEC’s share repurchase rules,...more

White House Issues Sweeping Executive Order on AI: Key Takeaways

Dechert LLP on 12/21/2023

President Biden’s recent Executive Order on Safe, Secure, and Trustworthy Development and Use of Artificial Intelligence: Establishes a federal government-wide effort to mitigate risks of improper AI development and use. ...more

DOJ, FBI Issue Guidance for Public Companies Seeking to Delay Disclosure of Material Cybersecurity Incidents

Davis Wright Tremaine LLP on 12/15/2023

As we discussed in our prior blog post, the Securities and Exchange Commission (SEC) recently finalized its Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure rule for public companies (the "Rule")....more

DOJ and FBI Announce Guidance on Seeking Delays in SEC 8-K Filings for Cyber Incidents

Mayer Brown on 12/13/2023

On December 12, 2023, the Department of Justice (DOJ) issued guidelines for companies to follow in requesting that the Attorney General authorize delays of cyber incident disclosures required by the U.S. Securities and...more

Recent Developments for Directors - October 2023 Edition

Latham & Watkins LLP on 10/18/2023

SEC Adopts Final Rules on Cybersecurity Disclosures - The SEC has adopted rules requiring companies to provide disclosure within four business days of determining that a material cybersecurity incident has occurred, and...more

[Webinar] SEC New Cybersecurity Final Rule: A Different Perspective from the Viewpoints of the CISO, General Counsel, & The Board...

Ankura on 9/19/2023

Any time a regulation is put forth, there is always a level of uncertainty, especially regarding understanding the roles and responsibilities of key business leaders. The SEC’s new cybersecurity final rule means heightened...more

SEC adopts new cybersecurity rules for public companies

McAfee & Taft on 8/1/2023

The Securities and Exchange Commission (SEC) finalized cybersecurity rules this week for public companies centered on disclosure requirements for material cybersecurity incidents, as well as periodic reporting regarding...more

SEC Directs Public Companies to Evaluate Disclosure Relating to Russia’s Invasion of Ukraine and Related Supply Chain Issues

Foley & Lardner LLP on 5/9/2022

On May 3, 2022, the SEC’s Division of Corporation Finance issued guidance through the release of a sample comment letter of public reporting companies’ potential disclosure obligations related to “the direct or indirect...more

SEC Chair Issues Statement on Investor Protection Related to Developments in China

WilmerHale on 8/3/2021

On Friday, SEC Chair Gary Gensler issued a statement concerning investor protection related to recent developments in China. The statement summarizes risks to US investors as a result of recent government-led developments in...more

FINRA’s New Guidance Report… The Name Did Not Change To Protect The Innocent

Fox Rothschild LLP on 2/24/2021

In what has become a yearly occurrence, FINRA has notified its member firms about its intent regarding the member firms’ compliance programs. See...more

SEC and FINRA Provide Guidance Regarding Cybersecurity, Artificial Intelligence, and Digital Assets

Perkins Coie on 8/14/2020

The U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) made several regulatory announcements this summer relating to cybersecurity, artificial intelligence (AI), and digital...more

Financial Services Weekly Roundup: Gone Phishing – The SEC’s OCIE Addresses Ransomware Attacks

Goodwin on 7/16/2020

In This Issue. The Securities and Exchange Commission (SEC) adopted amendments to its exemptive applications procedures under the Investment Company Act of 1940, as amended (the 1940 Act) and proposed to amend Form 13F to...more

Financial Services Weekly Roundup: PPP Borrowers And Lenders Under The Microscope

Goodwin on 4/30/2020

In This Issue. The U.S. Securities and Exchange Commission (SEC) proposed a new rule that would establish a revised framework for the fair value determination for purposes of the Investment Company Act of 1940 and have...more

Investment Services Regulatory Update - February 2020

Vedder Price on 3/3/2020

New Rules, Proposed Rules, Guidance and Alerts – PROPOSED RULES – Agencies Propose Volcker Rule Amendments Relating to Covered Funds – On January 30, 2020, the Federal Reserve Board, FDIC, OCC, SEC and CFTC proposed...more

Buyers (And Sellers) Beware!: SEC Observations on Cybersecurity and Resiliency

Sheppard Mullin Richter & Hampton LLP on 3/3/2020

The Securities and Exchange Commission recently published a set of observations designed to assist financial market participants. While not legally binding, the observations are guideposts for investment companies, securities...more

The SEC’s Most Detailed Cybersecurity Guidance to Date

Faegre Drinker Biddle & Reath LLP on 2/13/2020

The SEC, through its Office of Compliance Inspections and Examinations (“OCIE”), recently issued its most detailed cyber guidance to date. OCIE had previously issued several cybersecurity risk alerts over the past few years....more

Key Takeaways from Our Public Company SEC Reporting Webinar

Bass, Berry & Sims PLC on 12/9/2019

The Bass, Berry & Sims Corporate & Securities Practice Group recently hosted another in a series of complimentary webinars exploring various public company-related securities law issues. The most recent Securities Law...more

SEC OCIE Issues Guidance on Advisers’ Recordkeeping Requirements for Electronic Messaging Following its Sweep Examination

Akin Gump Strauss Hauer & Feld LLP on 12/18/2018

• On December 14, the SEC’s OCIE issued a Risk Alert summarizing the findings of its limited-scope examination initiative relating to electronic messaging. • Noting a “pervasive use” of electronic messaging by adviser...more

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