News & Analysis as of September 18, 2024

Securities Exchange Act › Data Privacy

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The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +

The Justice Insiders Podcast: Meet the Securities and Exchange (and Human Resources) Commission

FINRA imposes censure and $250,000 fine on “influencer” company for misconduct and privacy notice violations

Orrick, Herrington & Sutcliffe LLP on 6/18/2024

On June 10, FINRA agreed to a Letter of Acceptance, Waiver, and Consent (AWC) from a company, addressing various regulatory infractions for improper use of social media influencers in promotional activities. From 2020 to...more

Top 5 SEC Enforcement Developments for April 2024

Morrison & Foerster LLP on 5/21/2024

Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine: •The SEC’s first “Shadow Trading” trial; •SCOTUS’s...more

Katten Financial Markets and Funds Quick Take | Issue 15

Katten Muchin Rosenman LLP on 6/14/2023

Four Key Considerations Since SEC Amended Form PF - In early May, the Securities and Exchange Commission (SEC) adopted a final rule amending Form PF, the confidential reporting form for certain SEC-registered investment...more

Cybersecurity, False Statements and Omissions

Dorsey & Whitney LLP on 4/28/2022

Cybersecurity and the related disclosures can be critical issues for any company in today’s environment. This question is at the center of a recent decision by the Fourth Circuit Court of Appeals....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

Privacy, Vulnerabilities, and Breaches, Oh My

BCLP on 8/25/2021

A recent SEC settlement shed light on data security and privacy concerns that public companies should keep in mind when drafting and filing periodic reports. The SEC settlement concerned a 2018 data breach at Pearson Plc that...more

Alternative Data: Regulatory and Ethical Issues for Financial Services Firms to Consider - March 2020

Latham & Watkins LLP on 3/5/2020

Not too long ago, an investment manager looking to invest in a company might conduct due diligence, attend investor relation calls, peruse quarterly or annual filings, and consider standard ratios such as price to earnings...more

Following the Wisdom of the Crowd? A Look at the SEC’s Final Crowdfunding Rules

Morrison & Foerster LLP on 11/2/2015

In this alert, we provide a detailed overview of the final rules, Regulation Crowdfunding, which will be applicable to crowdfunding offerings conducted in reliance on Section 4(a)(6) of the Securities Act of 1933 as amended...more

SEC Adopts Pay Ratio Rules

BakerHostetler on 8/21/2015

On August 5, 2015, the Securities and Exchange Commission (“SEC”) adopted rules, as directed by Congress in Section 953(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Section 953(b)”), to require...more

SEC Adopts Final Pay Ratio Rule – A Comprehensive Summary

Stinson - Corporate & Securities Law Blog on 8/6/2015

The SEC has adopted a final “pay ratio” rule required by Section 953(b) of the Dodd-Frank Act. In general, the “pay ratio” rule requires public companies to disclose the median of the annual total compensation of all...more

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Securities Exchange Act › Data Privacy

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