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Financial Markets › Investigations › Securities and Exchange Commission (SEC)

Venable LLP

Shakeup at the SEC: Recent Changes in Formal Investigative Authority, Regional Directors, and Reductions in Force

Venable LLP on

With all the headlines about changes in federal government structure in recent weeks, it is easy to miss some of the key changes taking place at the Securities and Exchange Commission. In this note, we have summarized three...more

Sheppard Mullin Richter & Hampton LLP

SEC Targets NFTs

Sheppard Mullin Richter & Hampton LLP on

For some time now we have cautioned companies to seek legal advice for certain business models relating to NFTs. According to a recent report, the SEC is now targeting certain NFT uses. According to the report, the SEC is...more

Polsinelli

SEC Signals Increased Investigation Activities in Light of COVID-19

Polsinelli on

While many businesses and government offices have closed or slowed as a result of the onset of COVID-19, the Securities and Exchange Commission remains open for business. On April 3, 2020, Sagar Teotia, the SEC’s Chief...more

Robins Kaplan LLP

Financial Daily Dose 10.30.2019 | Top Story: Fiat Chrysler and Peugeot in Merger Talks

Robins Kaplan LLP on

Fiat Chrysler and France’s Peugeot are in the midst of merger talks that, if finalized, could “create a nearly $50 billion trans-Atlantic auto giant.” One option being bandied about in the “fluid” talks is an “all-share...more

Orrick - Employment Law and Litigation

Chief of SEC Whistleblower Office Shares Candid Assessment of Program’s Results to Date and Future Direction

Orrick - Employment Law and Litigation on

On September 9, 2015, Sean McKessy, Chief of the SEC’s Office of the Whistleblower (OWB) spoke at Thomson Reuters’ 4th Annual Corporate Whistleblower Program in New York. With the standard disclaimer that his comments and...more

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