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Federal Employees Securities and Exchange Commission (SEC)

Thomas Fox - Compliance Evangelist

Everything Compliance: Episode 151, The What is Illegal DEI Edition

Welcome to this Edition of award-winning Everything Compliance. In this episode, we have the quartet of Matt Kelly, Karen Woody, Karen Moore, all hosted by Tom Fox, the Compliance Evangelist. They all look at various issues...more

McCarter & English Blog: Government Contracts...

Summary of Agency Class Deviations Implementing Federal Contractor Vaccine Mandate

The Government Contracts and Global Trade Group is pleased to provide a summary of some of the key class deviations and other memoranda published by U.S. Government agencies implementing the federal contractor COVID-19...more

Bass, Berry & Sims PLC

Potential SEC Disclosure Considerations Related to Vaccine Mandates

Bass, Berry & Sims PLC on

As you have inevitably read about, in September 2021, the Biden administration instructed the Department of Labor’s Occupational Safety and Health Administration (OSHA) to write a rule that would generally require employers...more

The Volkov Law Group

SEC Examiner Charged with Stealing Confidential Information and Obstruction of Justice

The Volkov Law Group on

We all take notice when government employees from enforcement agencies engage in wrongdoing.  It is important, however, for credibility that government agencies investigate themselves and prosecute employees for wrongdoing. ...more

Vedder Price

Investment Services Regulatory Update - August 2017

Vedder Price on

On August 7, 2017, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert providing a summary of the staff’s observations from sweep exams of broker-dealers, investment advisers and funds...more

Cadwalader, Wickersham & Taft LLP

Before The Whistle Blows: Understanding And Addressing The Expanding Scope Of Whistleblower Protections Under Sarbanes-Oxley And...

The Sarbanes-Oxley Act of 2002 (“Sarbanes-Oxley”) was enacted following the accounting scandals of the early 2000s involving Enron, WorldCom and other public companies. Congress passed the Dodd-Frank Wall Street Reform and...more

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