Registered entities continued to be a significant focus of the US Securities and Exchange Commission’s (SEC’s or Commission’s) enforcement and rulemaking programs in 2022, and we expect similar attention this year. The SEC’s...more
3/2/2023
/ Administrative Law Judge (ALJ) ,
Broker-Dealer ,
CFTC ,
Cybersecurity ,
Disgorgement ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Whistleblower Protection Policies
Morgan Lewis’s 15th annual 2020 Year in Review and a Look Forward provides a comprehensive overview and analysis of key 2020 US Securities and Exchange Commission (SEC) enforcement and examination developments, notable...more
3/12/2021
/ 10b5-1 Plans ,
Coronavirus/COVID-19 ,
Corporate Counsel ,
Disgorgement ,
Enforcement Guidance ,
Environmental Social & Governance (ESG) ,
Infectious Diseases ,
Regulation BI ,
Regulatory Agenda ,
Securities and Exchange Commission (SEC) ,
Self-Reporting ,
Settlement Agreements ,
Share Buybacks ,
Steering Committees ,
Whistleblowers ,
White Collar Crimes