News & Analysis as of

Enforcement Compliance Securities Litigation

Akin Gump Strauss Hauer & Feld LLP

The SEC’s Director of Enforcement Announces a New Paradigm for Assessing Compliance Efforts

On October 24, 2023, the Director of the Securities and Exchange Commission’s Enforcement Division, Gurbir S. Grewal, gave a keynote address to the New York City Bar Association’s 2023 Compliance Institute. This address,...more

Dorsey & Whitney LLP

This Week In Securities Litigation

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The Commission brought a series of administrative proceedings this week and one civil injunctive action. The civil injunctive action was an insider trading case. The administrative proceedings centered on FCPA violations, the...more

Burr & Forman

SEC Approves Supervision & Compliance Rule for Municipal Advisors

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The SEC last week approved new MSRB Rule G-44 implementing supervision and compliance requirements for municipal advisors. The MSRB touted the Rule as “its first dedicated rule for municipal advisors” under the Dodd-Frank...more

Dorsey & Whitney LLP

This Week In Securities Litigation

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The Second Circuit upheld SEC Rule 10b-5-2 which defines certain types of relationships as the predicate for insider trading. In reaching its conclusion the Court rejected an argument that an insider trading claim must be...more

BakerHostetler

2013 Year-End Securities Litigation and Enforcement Highlights

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We are pleased to share with you the 2013 Year-End Highlights Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team, a periodic survey, in addition to our Executive Alerts, which...more

Dorsey & Whitney LLP

This Week In Securities Litigation (The week ending January 10, 2014)

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The insider trading trial of former SAC Capital official Matthew Martoma opened this week in Manhattan with jury selection. The SEC announced the resignation of George Canellos, Co-director of the Division of Enforcement....more

King & Spalding

SEC Enforcement/Securities Litigation and D&O Insurance

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Recent SEC Enforcement Developments - .. Change in SEC policy regarding “no admissions” settlements - SEC Chair Mary Jo White has joined with colleagues at DOJ to change the perception that U.S. companies are...more

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