News & Analysis as of September 20, 2024

Securities Act of 1933

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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 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 -

Investment Adviser Expectations in 2024

Davis Wright Tremaine LLP on 1/19/2024

Like many other industries, Registered Investment Advisers ("RIAs") have dealt with significant regulatory, technological, and systemic change in recent years. Compared to FINRA-regulated entities, RIAs often face these...more

The SEC Cybersecurity Rules Are Now Effective: What You Need to Know and Do Now

Lowenstein Sandler LLP on 12/22/2023

The Rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure by Public Companies (the “Cybersecurity Rules”), which the Securities and Exchange Commission (SEC) had adopted earlier this year,...more

SEC's Charges Against SolarWinds and Its CISO Highlight Emerging Risks for Public Companies, Security Professionals

Davis Wright Tremaine LLP on 11/20/2023

The U.S. Securities and Exchange Commission ("SEC") has charged SolarWinds Corp. (SolarWinds) and the company's chief information security officer ("CISO") with securities fraud and violations of internal controls...more

Investment Management Update - November 2023

Skadden, Arps, Slate, Meagher & Flom LLP on 11/16/2023

...SEC Adopts Amendments to Fund Names Rule - On September 20, 2023, the U.S. Securities and Exchange Commission (SEC) adopted amendments to Rule 35d-1 under the Investment Company Act of 1940 (the Fund Names Rule) as well...more

The SEC’s Charges Against SolarWinds and its Chief Information Security Officer Provide Important Cybersecurity Lessons for Public...

White & Case LLP on 11/15/2023

On October 30, 2023, the US Securities and Exchange Commission ("SEC") announced that it filed charges against SolarWinds Corp. ("SolarWinds" or the "Company") and its Chief Information Security Officer ("CISO") in connection...more

SEC Gives Finality on Cybersecurity Disclosures for Public Companies

Sheppard Mullin Richter & Hampton LLP on 9/28/2023

The SEC has now finalized its much anticipated rules for public companies’ cybersecurity disclosures. The final rules, published this month, require disclosure of certain cybersecurity incidents much sooner than under many...more

Corporate Governance: 2023 Midyear Review

Kramer Levin Naftalis & Frankel LLP on 7/12/2023

The public and private focus on corporate governance continued apace in the first half of 2023. In recent months, there were notable developments in jurisprudence potentially impacting corporate diversity initiatives and in...more

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

Inside the Courts – An Update From Skadden Securities Litigators - March 2023

Skadden, Arps, Slate, Meagher & Flom LLP on 3/16/2023

Circuits Split Over Whether Targeting Is Necessary for Seller Liability - Key Points - - While courts have long held that solicitations must be tailored to a particular audience to precipitate statutory seller liability,...more

Nutter Securities Enforcement Update: May 1, 2022

Nutter McClennen & Fish LLP on 5/1/2022

The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges. ...more

Public Companies Must Accurately Disclose Material Cyber Breaches to Investors

Hinshaw & Culbertson - Privacy, Cyber & AI... on 8/25/2021

On August 16, 2021, the Securities and Exchange Commission (SEC) announced a $1 million settlement with Pearson plc (Pearson) in connection with a 2018 "cyber intrusion" that resulted in the theft of millions of student...more

SEC Fine Highlights Importance of Cybersecurity Disclosures

Sheppard Mullin Richter & Hampton LLP on 8/25/2021

The SEC recently announced a settlement with Pearson plc where the company has agreed to pay $1 million to settle charges that it misled investors about a 2018 cyber incident. According to the order, Pearson made misleading...more

Regulatory Crackdown on Ransomware

Proskauer - The Capital Commitment on 12/15/2020

Ransomware is a Serious and Growing Problem - In recent years, Ransomware has evolved from merely encrypting files/disabling networks in solicitation of ransom, to sophisticated attacks that often involve actual data...more

Hypothetical Risk Factors Pose a Real Risk

Proskauer Rose LLP on 7/30/2019

On July 24, 2019, the Securities and Exchange Commission (the "SEC") announced charges against Facebook Inc. ("Facebook") for making misleading statements and risk factor disclosures regarding the misuse of Facebook user data...more

Regulatory Update and Recent SEC Actions - July 2019

Blank Rome LLP on 7/19/2019

REGULATORY UPDATES - Investors Continue to Press Regulators for Disclosure of Environmental, Social, and Governance (“ESG”) Risks...more

Cybersecurity Disclosures

BCLP on 10/29/2018

In October of 2011, the U.S. Securities and Exchange Commission (“SEC”) issued guidance regarding a public company’s obligations to disclose cybersecurity risks and cyber incidents (the “Cybersecurity Disclosure Guidance”)....more

It’s a material world - why the SEC’s Yahoo! penalty really matters

Eversheds Sutherland (US) LLP on 5/7/2018

In the aftermath of the April 24, 2018, Securities and Exchange Commission (SEC) statement announcing its penalty against Altaba Inc., formerly Yahoo! Inc. (Yahoo!), for failing to timely report a massive data breach,...more

Failure to Disclose Leads to $35 Million Penalty in the Yahoo! Cybersecurity Breach

Dorsey & Whitney LLP on 4/27/2018

The Securities and Exchange Commission (the “SEC”) announced Tuesday that Altaba, the entity formerly known as Yahoo! Inc., has agreed to pay a $35 million penalty to settle charges that it misled investors by failing to...more

SEC Expands Cybersecurity Guidance: All Public Companies Must Take Note

Baker Donelson on 2/26/2018

On February 21, the U.S. Securities and Exchange Commission (SEC) issued interpretive guidance (the "Guidance") to public companies updating and expanding on the SEC Staff's prior cybersecurity guidance that was released in...more

Investment Management Special Report - 2017-18 Compliance Developments & Calendar for Private Fund Advisers

Akin Gump Strauss Hauer & Feld LLP on 10/12/2017

Introduction - Despite an anticipated de-regulatory push, there are significant new regulatory concerns for investment advisers to address in connection with their annual review of their compliance manuals. ...more

Who Does What: Broker Dealers | Registered Investment Advisers | Commodities/Futures Entities

Fox Rothschild LLP on 4/25/2017

At Fox Rothschild LLP, we have a wealth of experience in creating and forming broker-dealers, registered investment advisers, commodity entities and various hedge funds. Over the years, our strategy has been to work with our...more

Bass, Berry & Sims Releases Securities & Shareholder Litigation 2017: A Look Ahead

Bass, Berry & Sims PLC on 2/26/2017

Bass, Berry & Sims PLC announces the release of its annual "Securities & Shareholder Litigation 2017: A Look Ahead," a high-level report that covers recent developments and offers best practices for the year ahead. The newly...more

Mintz TechConnect - October 2015

Mintz on 10/19/2015

Letter from the Editors - We are thrilled to provide you with the first issue of Mintz Levin’s TechConnect, a bi-monthly newsletter on “all things technology” in the legal and business world, from our perspective, of...more

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on 10/1/2015

Non-Enforcement Cybersecurity Is At the Top of SEC Examination Concerns In a recent SEC “risk alert” for registered broker-dealers and investment advisers, the SEC’s Office of Compliance Inspections and Examinations (OCIE)...more

SEC’s Increased Cybersecurity Enforcement and How to Reduce Your Risks

Perkins Coie on 9/29/2015

The SEC announced last week that an investment adviser had agreed to settle charges that it failed to take required steps to protect against and respond effectively to a cybersecurity breach. The action comes on the heels of...more

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