Summary -
The Securities and Exchange Commission (SEC) has recently announced settlements with a number of companies whose separation agreements or internal policies the SEC viewed as impeding employees’ participation in the...more
10/5/2023
/ Anti-Retaliation Provisions ,
Corporate Counsel ,
Employer Liability Issues ,
Enforcement Actions ,
Former Employee ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Violations ,
Separation Agreement ,
Settlement ,
Whistleblower Protection Policies ,
Whistleblowers
When BlackRock announced its stewardship expectations and updated proxy voting guidelines for 2021 last week, it sent a strong signal to the market about the importance of environmental, social, and governance (ESG) risk...more
COVID-19 has upended every corner of the financial markets, including the disclosure regime for publicly traded companies. Over the last few weeks, the number of disclosures relating to COVID-19 has exploded, with as many...more
For years, the Securities and Exchange Commission (SEC) has aggressively utilized its own administrative law judges to adjudicate enforcement proceedings, prompting critics to argue that this strategy gives the SEC a decided...more
6/25/2018
/ 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)