Lauren Lisauskas

Troutman Pepper Locke

Contact
View Bio
RSS

Latest Posts › Securities and Exchange Commission (SEC)

Share:

SEC Settlement Shows Commission’s Willingness to Waive Penalties for Investigatory Targets Focusing on Corrective Action

On January 28, the Securities and Exchange Commission (SEC or Commission) issued a press release, announcing the settlement of various fraud charges against a private technology company in light of their “significant remedial...more

2/7/2022  /  Anti-Fraud Provisions , Corporate Counsel , Corrective Actions , Rule 10b-5 , Securities Act of 1933 , Securities and Exchange Commission (SEC) , Securities Exchange Act

SEC Settlement Shows Commission's Willingness to Waive Penalties for Investigatory Targets Focusing on Corrective Action

On January 28, the Securities and Exchange Commission (SEC or Commission) issued a press release, announcing the settlement of various fraud charges against a private technology company in light of their “significant remedial...more

2/4/2022  /  Securities Act of 1933 , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Fraud
2 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide