To provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important and interesting SEC enforcement developments from the past month, with links to primary resources....more
1/18/2024
/ Coinbase ,
Corporate Counsel ,
Cryptocurrency ,
Decentralized Autonomous Organization (DAO) ,
Disclosure Requirements ,
ICFR ,
Repurchases ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Stock Repurchases ,
Unregistered Securities
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 announcement of its Fiscal Year 2023 enforcement...more
12/18/2023
/ Charter Communications ,
Constitutional Challenges ,
Corporate Counsel ,
Corporate Governance ,
Cryptocurrency ,
Cyber Crimes ,
Enforcement Actions ,
Hackers ,
Internal Controls ,
Remedies ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Regulation ,
Share Buybacks ,
Whistleblowers
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:
• Fraud and internal control failure charges against...more
11/20/2023
/ Aiding and Abetting ,
Anti-Money Laundering ,
Best Practices ,
Blockchain ,
Chief Information Security Officer (CISO) ,
Cyber Attacks ,
Cybersecurity ,
Data Collection ,
Financial Industry Regulatory Authority (FINRA) ,
FinTech ,
Fraud ,
Good Faith ,
Information Security ,
Interlocutory Appeals ,
Popular ,
Reporting Requirements ,
Ripple ,
Securities and Exchange Commission (SEC) ,
Short Sales ,
SolarWinds
On March 1, 2023, the U.S. Department of Justice (DOJ) and Securities and Exchange Commission (SEC) brought insider trading charges against Terren S. Peizer, the founder, Executive Chairman, and Chairman of the Board of...more
On December 14, 2022, the U.S. Securities and Exchange Commission (the SEC) adopted amendments to the affirmative defense in Rule 10b5-1(c) under the Securities Exchange Act of 1934, as amended (the Exchange Act), and adopted...more
Over the past year, the use of Special Purpose Acquisition Companies, or SPACs, to go public has skyrocketed. As The Wall Street Journal explained, “With interest rates on the floor and investors chasing young companies, this...more
In Lucia v. U.S. Securities and Exchange Commission, Justice Elena Kagan, writing for a six-justice majority, presents the U.S. Supreme Court’s decision as both narrow and uncomplicated. “The sole question” the court chose to...more
6/27/2018
/ Administrative Agencies ,
Administrative Law Judge (ALJ) ,
Administrative Proceedings ,
Appeals ,
Appointments Clause ,
Constitutional Challenges ,
Enforcement Actions ,
Final Written Decisions ,
Lucia v SEC ,
Officers of the United States ,
Remand ,
Reversal ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Special Trial Judges (STJs)
On February 21, 2018, the Supreme Court held that to sue under the anti-retaliation provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”), a person must first report a violation of...more
In a January 22, 2016 decision, a federal court in New York dismissed federal securities law claims against Lions Gate Entertainment and several of its senior executives based on the company’s decision not to disclose that it...more
An internal investigation is any effort to gather and analyze facts to help make a decision. Morrison & Foerster managing partner Craig Martin has overseen more than a dozen such efforts. His advice...more