Sandra Redivo

White & Case LLP

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Latest Posts › Securities and Exchange Commission (SEC)

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Time to Revisit Insider Trading Policies: The SEC’s Expansion of Insider Trading Enforcement to “Shadow Trading” Survives Motion...

On January 14, 2022, in a closely watched decision, a federal judge in the Northern District of California denied a motion to dismiss a complaint brought by the US. Securities and Exchange Commission ("SEC") that presented a...more

2/4/2022 / Acquisitions , Enforcement Actions , Insider Trading , Misappropriation , Motion to Dismiss , Publicly-Traded Companies , Securities and Exchange Commission (SEC) , Securities Litigation

Time to Revisit Risk Factors in Periodic Reports

Ninth Circuit Decision Highlights Importance of Updating Risk Factors to Address Material Developments, including those relating to Cybersecurity Risks. As companies prepare their periodic reports with the SEC, a recent...more

8/6/2021 / Cybersecurity , Disclosure Requirements , Form 10-K , Form 10-Q , Publicly-Traded Companies , Risk Factors , Securities and Exchange Commission (SEC)

SEC Statements Suggest Heightened Insider Trading Scrutiny Even if Using a Rule 10b5-1 Trading Plan

Recent warnings from the US Securities and Exchange Commission ("SEC") and the US Congress could translate into more aggressive scrutiny of trading plans adopted pursuant to Rule 10b5-1 of the Securities and Exchange Act of...more

7/23/2021 / 10b5-1 Plans , Corporate Governance , Disclosure Requirements , Insider Trading , Material Nonpublic Information , Scienter , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Regulation

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