Materials
COVID-19 – Securities Enforcement and Shareholder Litigation Ramifications
- SEC Coronavirus (COVID-19) Response
- The Importance of Disclosure – For Investors, Markets and Our Fight Against COVID-19 (SEC Chairman Clayton)
- Managing Securities Litigation Risks in a Time of Coronavirus Insecurities
- Statement from Stephanie Avakian and Steven Peikin, Co-Directors of the SEC’s Division of Enforcement, Regarding Market Integrity
- How the SEC Enforcement Division Responds to a Crisis
- COVID-19: Regulator Guidance on Privacy and Cybersecurity Issues Raised as Companies Respond to the Pandemic
- Considerations for Corporate Directors As Their Companies Confront COVID-19
- SEC Division of Enforcement emphasizes need for market integrity in context of COVID-19 pandemic
- What Companies Need to Know Now About Public Disclosures Concerning COVID-19
- SEC Examinations and Enforcement in the COVID-19 Era
Cybersecurity Disclosure and Enforcement: How Tough Will the SEC Get?
- Commission Statement and Guidance on Public Company Cybersecurity Disclosures
- SEC Examination Priorities for 2019
- Spotlight on Cybersecurity, the SEC and You
- The SEC’s Regulation S-P in the Age of Cybersecurity
- FINRA 2019 Annual Risk Monitoring and Examination Priorities Letter
- SEC Required Recordkeeping in an Evolving Privacy Landscape
- SEC Warns Registered Firms about Client Privacy and Data Security
Financial Disclosure and Accounting Fraud
- Building Strength from (Material) Weakness: Audit Committee Oversight of Internal Controls
- SEC Proposes to Modernize Disclosures of Business, Legal Proceedings and Risk Factors Under Regulation S-K
- SEC Financial Reporting and Audit (FRAud) Group
- Early Takeaways From SEC’s FY 2020 Fraud Enforcement
- SEC Maintains Its Focus on Perk Disclosures
- SEC Speech —Pondering Financial Reporting: Remarks before the 2018 Leet Business Law Symposium
- SEC Is Watching Earnings Management Disclosures
- SEC charges company for failure to disclose material trends
- Private Companies: Beware of SEC Scrutiny
- SEC Enforcement in Financial Reporting and Disclosure: 2019 Mid-Year Update
Director’s Panel
- SEC Enforcement Annual Report for FY 2019
- Highlights From ‘SEC Speaks’ 2020
- Speech by Steven Peikin: COVID-19 Enforcement Matters
- The SEC/Musk/Tesla Settlement: The Dawning of a New Era of SEC Internet Enforcement
- SEC Enforcement Activity: Public Companies and Subsidiaries—FY 2019 Update
- Supreme Court Upholds Securities Fraud Liability for Defendant Who Did Not “Make” False Statements
- The Lasting Impact of Kokesh: Footnote 3 and Beyond
- Keynote Remarks of Sec Chairman Jay Clayton at the Mid-Atlantic Regional Conference (June 2019)
Financial Firm Spotlight — Enforcement and Regulatory Developments for Asset Managers, Broker-Dealers, Hedge Funds and More
- SEC Examination Priorities for 2020
- FINRA 2020 Annual Risk Monitoring and Examination Priorities Letter
- DOJ Will Partner With SEC to “Lean In” on Aggressive Antitrust Policing of the Financial Services Sector
- Legal & Regulatory Risk Note for the Finance Sector (Oct. 2020)
- The EU’s ESG Package – what do asset managers need to know?
- Electronic Communications in SEC Examinations and Investigations
- These Are Volatile Times: What Asset Managers Need to Know—and Do—When SEC Comes Calling
- What does the SEC have in store for 2020?
- Regulatory Challenges in Illiquid Asset Valuation Litigation
- Mylan settles SEC charges for disclosure and accounting failures arising out of DOJ investigation
- SEC Warns Registered Firms About Client Privacy and Data Security
Insider Trading 360° – Enforcement Trends and Key Cases, Prosecutions, and Legislation
- SEC warns on coronavirus insider trading after stock sales by NYSE chair, his wife Sen. Loeffler, 3 other senators
- Quarantine Your Sensitive Business Information to Avoid Inadvertent Tipping Liability
- Stock Buybacks Under 10b5-1 Plan Draw SEC Rebuke
- SEC Signals Increased Penalties Post-Liu
- SEC Charges Former Senior Attorney at Apple With Insider Trading
- Report of the Bharara Task Force on Insider Trading
- Insider trading law is irreparably broken
- Liu v. SEC Offers Opportunity For Clarity In Disgorgement Law
- Stay Vigilant: The Government Shutdown Didn’t Shut Down Insider Trading Enforcement
- Task Force recommends insider trading legislation
- Beware Intense Insider Trading Scrutiny in Current Climate
- COVID-19 and Rule 10b5-1 Plans: Best Practices
- Text of H.R. 2534, the “Insider Trading Prohibition Act”
- Text of H.R. 4344, the “Investor Protection and Capital Markets Fairness Act”
Whistleblower Update: The Impact on Corporations and SEC Enforcement
- SEC Office of the Whistleblower
- SEC’s 2019 Annual Report on the Dodd-Frank Whistleblower Program
- SEC Whistleblower Program Ends Record-Setting Fiscal Year With Four Additional Awards
- SEC Issues Record $114 Million Whistleblower Award
Cryptocurrency Regulation, Enforcement and Litigation
- SEC Obtains Final Judgment Against Kik Interactive For Unregistered Offering
- The SEC Triples Down on its Cryptocurrency Crackdown
- US Actions Show View Of Crypto As National Security Threat
- Beware ICO Lawyers: As Regulatory Gatekeepers, You’re the Next SEC Target
- Economic Considerations for ICO Regulation and Litigation
- SEC Names Valerie A. Szczepanik Senior Advisor for Digital Assets and Innovation
- Chairman’s Testimony on Virtual Currencies: The Roles of the SEC and CFTC
Managing Internal Investigations and Advanced Government Defense
- The Evolution and 2020 Status of Cooperation in SEC Enforcement Investigations
- Privilege Considerations in Special Board Committee Representations
- DOJ Puts C-Suite Execs in Crosshairs
- Speech by Stephanie Avakian, Co-Director, Division of Enforcement: Measuring the Impact of the SEC’s Enforcement Program (Sept. 2018)
- Messages for Public Companies from the SEC’s Spate of September Enforcement Actions