News & Analysis as of

Form 8-K Enforcement Actions Securities Regulation

Polsinelli

Recent Developments Relating to the SEC’s Cybersecurity Disclosure Requirements

Polsinelli on

The U.S. Securities and Exchange Commission (SEC) is becoming one of the federal agencies at the forefront of driving transparency, cybersecurity awareness and cyber incident reporting. As we reported in last year’s...more

A&O Shearman

SEC Charges Company With Reg FD Violations For Disclosing Information Via Posts On CEO’s Social Media Accounts

A&O Shearman on

On September 26, 2024, the Securities and Exchange Commission (“SEC” or “the Commission”) charged a sports-betting company (the “Company”) with violating Regulation Fair Disclosure (“Reg FD”) by disclosing material, nonpublic...more

Stinson - Corporate & Securities Law Blog

SEC Charges Company for Failing to Evaluate and Disclose Board Member’s Lack of Independence

The SEC announced settled charges against formerly publicly-traded Leaf Group Ltd. for failing to adequately evaluate and disclose in its annual proxy statement the lack of independence of a director and a board committee as...more

Polsinelli

The Cheesecake Factory has settled charges with the SEC for Misleading COVID-19 Disclosures

Polsinelli on

The SEC has just announced settled charges against The Cheesecake Factory Incorporated for making misleading disclosures about the impact of the COVID-19 pandemic on its business operations and financial condition. The SEC...more

BCLP

SEC Penalizes Public Company for Misleading Disclosures of COVID-19 Impact

BCLP on

In its first enforcement action against a public company for misleading disclosures regarding COVID-19’s business impact, the SEC released a December 4 Order Instituting Proceedings against The Cheesecake Factory Inc. and...more

Stinson - Corporate & Securities Law Blog

Rushed Earnings Release Results in SEC Enforcement Action

Calumet Specialty Products Partners, L.P. disclosed in its third-quarter 2017 Form 10-Q that, beginning in September 2017, Calumet’s implementation of its new enterprise resource planning (“ERP”) system had resulted in...more

Herbert Smith Freehills Kramer

SEC Brings Enforcement Action against TherapeuticsMD for Violations of Regulation FD

On Aug. 20, 2019, the Securities and Exchange Commission (SEC) announced that it had charged public pharmaceutical company TherapeuticsMD, Inc. for violations of Regulation FD and Section 13(a) of the Exchange Act related to...more

Robins Kaplan LLP

When Does a Tweet Fall Afoul of Regulation FD

Robins Kaplan LLP on

On August 7, 2018, Tesla CEO Elon Musk used his personal Twitter account (@elonmusk) to propose a buyout of the company for $420 a share, stating that funding was secured....more

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