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Insider Trading

Updated SEC Guidance Highlights Importance Of Solid Cybersecurity Policies And Procedures

by Cozen O'Connor on

The Securities and Exchange Commission (“SEC” or “Commission”) has given public companies a heads up on where the Commission is setting its sights in the ever-developing world of cybersecurity. Here’s what you need to know,...more

Former Equifax Chief Information Officer Charged With Insider Trading

by Murtha Cullina on

The Equifax data breach saga continues, this time with civil and criminal charges for insider trading lodged against Jun Ying, Equifax’s former Chief Information Officer of its U.S. Information Solutions business unit. The...more

Insider Trading Charges Brought Against CIO for Post-Breach Trading

by White and Williams LLP on

On March 14, 2018, the Securities and Exchange Commission (SEC) charged a chief information officer (CIO) for a US business division of Equifax with insider trading in advance of Equifax’s September 2017 disclosure of the...more

SEC Commissioners Provide Guidance On Cybersecurity Disclosures After Wave Of Record Incidents

by Orrick - Trust Anchor on

Much has been written about the SEC’s interpretive guidance on cybersecurity disclosures, issued in late February, including Commissioner Stein’s statement that it under-delivers for investors, public companies, and the...more

Alert: SEC Issues New Guidance on Cybersecurity Disclosure and Policies

by Cooley LLP on

In February, the SEC announced that it had adopted long-awaited new guidance on cybersecurity disclosure. While the new guidance builds on Corp Fin's 2011 guidance on this topic, it carries more weight because it bears the...more

Tribute to Hawking: Black Holes Everywhere

by Thomas Fox on

Holmes was one of the most famous women to come out of Silicon Valley. She founded Theranos, hyped the fraudulent blood testing scam and became for a short time a billionaire. Now all of that is gone, gone, gone. ...more

SEC Commissioners Provide Guidance on Cybersecurity Disclosures After Wave of Record Incidents

The Commission's "new" cybersecurity guidance largely rehashes existing guidance, as is highlighted by objections from two commissioners. At most, the additional qualitative guidance is incremental. It reiterates the need to...more

Newman’s “Meaningfully Close Personal Relationship” Requirement No Longer Good Law

A divided Second Circuit panel (Katzmann, Pooler (dissenting), Chin) on Wednesday upheld the insider trading conviction of former SAC Capital portfolio manager Mathew Martoma. Confronting its precedent in United States v....more

The SFC's enforcement priorities for 2018

by Hogan Lovells on

In late February, the SFC published its Enforcement Reporter setting out its enforcement priorities and approaches for 2018. The SFC emphasized its enhanced cross-divisional collaborative approach with more targeted...more

How New SEC Guidance on Cybersecurity Risks Could Affect Your Business

by Barley Snyder on

While new cybersecurity guidance from the U.S. Securities and Exchange Commission (SEC) only directly affects publicly traded companies, the trickle-down effects could touch a much larger swatch of businesses of any size....more

2017 Year-End Securities Litigation and Enforcement Highlights

by BakerHostetler on

Welcome to the 2017 Year-End Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. The purpose of this report is to provide a periodic survey of matters we believe to be of interest...more

SEC Publishes Additional Guidance on Public Company Cybersecurity Disclosures

by Weiner Brodsky Kider PC on

Given the increasing significance of cybersecurity incidents, the SEC recently published additional guidance in the Federal Register to assist public companies in preparing cybersecurity risk and incident disclosures,...more

SEC Guidance on Cybersecurity: Data Breaches Are Likely Material

by Revision Legal on

The Securities and Exchange Commission (“SEC”) just issued, on February 21, 2018, a new Guidance with respect to cybersecurity disclosures for publicly-held corporations. The quick takeaway is that data breaches and data...more

SEC announces new interpretive guidance in cybersecurity

by Thompson Coburn LLP on

In a February 21 Release, the U.S. Securities and Exchange Commission (SEC) announced new interpretive guidance for public companies regarding cybersecurity risk and incident disclosures. The interpretive guidance reviews...more

The SEC wants companies to talk about cybersecurity

On February 21, 2018, the Securities and Exchange Commission issued an interpretive release1 providing important guidance to certain registrants on cybersecurity disclosure. Coming on the heels of dozens of high-profile...more

SEC Releases Guidance on Disclosures Concerning Cybersecurity Matters

by Balch & Bingham LLP on

On February 21, 2018, the Securities and Exchange Commission (SEC) published a release entitled “Commission Statement and Guidance on Public Company Cybersecurity Disclosures” (“Release”). Designed to assist public companies...more

SEC Cybersecurity Disclosure and Controls Checklist

In February 2018 the SEC outlined its views with respect to cybersecurity disclosure requirements under the federal securities laws as they apply to public reporting companies. Set forth below is a checklist of items included...more

SEC Provides Long-Awaited Guidance on Cybersecurity Disclosures

by Holland & Hart LLP on

On February 21, 2018, the U.S. Securities and Exchange Commission (“SEC”) released interpretive guidance to assist public companies in the proper disclosure of cybersecurity risks and incidents (“New Guidance”) – seven years...more

SEC Issues New Interpretive Guidance on Cybersecurity Disclosures

by Hogan Lovells on

Prompted by concern over the increase in the risks and frequency of data breach incidents and other cyber-attacks affecting public companies, the Securities and Exchange Commission recently published interpretive guidance to...more

SEC Provides New Far-Ranging Cybersecurity Guidance

by Mintz Levin on

The Securities and Exchange Commission (“SEC”) released expansive interpretive guidance (“2018 Guidance”), posted February 21, 2018, further building upon its far-reaching cybersecurity guidance provided in 2011. Below are...more

SEC’s Updated Cybersecurity Disclosure Guidelines Leave Questions Unanswered

by Ifrah PLLC on

As previewed in our previous post, the United States Securities and Exchange Commission (“SEC”) unanimously approved new cybersecurity interpretive guidance—a format used to clarify the SEC’s views on security laws and...more

SEC Issues New Cybersecurity Guidance

by Dorsey & Whitney LLP on

On February 26, in the wake of significant and far-reaching cybersecurity breaches (e.g., the Equifax Data Breach), the SEC published interpretive guidance to assist public companies in preparing disclosures about...more

Highlights From SEC Speaks 2018: Litigation and Enforcement Trends

by Vedder Price on

The U.S. Securities and Exchange Commission (“SEC” or the “Commission”) held its annual SEC Speaks conference in Washington, DC on February 23 and 24, 2018 and provided remarks from the Chairman and commissioners, discussions...more

10th Circuit Reverses Grant of Summary Judgment on SOX Whistleblower Claim

On February 22, 2018, the Tenth Circuit Court of Appeals reversed a district court’s grant of summary judgment against a Plaintiff who claimed that his employment was terminated in violation of the SOX whistleblower...more

SEC Guidance Focuses on Cybersecurity Procedures and Disclosure Issues

On Feb. 21, the Securities and Exchange Commission (SEC) released interpretive guidance on public companies’ disclosure practices regarding cybersecurity breaches and risks to the public....more

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