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A repository for the most well-read content on JD Supra at any given time, along with occasional roundups of popular content by specific topic. Also stop by for monthly recaps of hot articles for the previous... more +
A repository for the most well-read content on JD Supra at any given time, along with occasional roundups of popular content by specific topic. Also stop by for monthly recaps of hot articles for the previous thirty days. less -
McGlinchey Stafford

Former CEO Sentenced in Historic Insider Trading Case Under Rule 10b5-1

McGlinchey Stafford on

On June 23, 2025, U.S. District Judge Dale S. Fischer of the Central District of California sentenced a former Chairman and CEO of a behavioral healthcare company to 42 months in federal prison. This conviction represents the...more

BCLP

SEC Again Cracks Down on Companies That Restrict Whistleblowers

BCLP on

As discussed in our December 15, 2023 client alert, the SEC has waged an aggressive effort to enforce alleged violations of the whistleblower protection rule.  On September 9, 2024, the SEC announced settled charges resulting...more

Foley Hoag LLP - White Collar Law &...

SEC to Continue Aggressive Enforcement Efforts in 2024 After Record-Setting 2023

Foley Hoag LLP - White Collar Law &... on

This is the fourth in our 2024 Year in Preview series examining important trends in white collar law and investigations in the coming year. We will be posting further installments in the series throughout the next several...more

BCLP

SEC Slaps SPAC for Hiding Preliminary M&A Talks: Lessons for Other Public Companies

BCLP on

On January 25, 2024, the SEC announced the settlement of cease-and-desist proceedings against Northern Star Investment Corp. II, a special purpose acquisition company (SPAC). The SEC alleged that the company failed to...more

Latham & Watkins LLP

ESG Insights: 10 Things That Should Be Top of Mind 2024

Latham & Watkins LLP on

Amid new regulations, increased enforcement and litigation, and higher stakeholder scrutiny, companies will need to adopt an integrated and nuanced approach to ESG. In some ways, 2023 was a challenging year for ESG. This...more

The Volkov Law Group

SEC Sues SolarWinds and its CISO for Fraud Over Botched Data Breach Response, Marking New Era in Cyber Enforcement

The Volkov Law Group on

The U.S. Securities and Exchange Commission has a message for publicly-traded companies that suffer a data breach: own up. On Monday, the SEC sued Texas-based SolarWinds––and its Chief Information Security Officer...more

Skadden, Arps, Slate, Meagher & Flom LLP

SEC Approves Stock Exchange Rules for Dodd-Frank Clawbacks

Skadden, Arps, Slate, Meagher & Flom LLP on

On June 9, 2023, the Securities and Exchange Commission (SEC) approved, on an accelerated basis, the New York Stock Exchange’s (NYSE) and Nasdaq Stock Market’s (Nasdaq) proposed listing standards implementing the SEC’s...more

White & Case LLP

Ten Key Considerations for the 2023 Annual Reporting and Proxy Season Part I: Form 10-K Considerations

White & Case LLP on

Part I of our two-part series identifies our Public Company Advisory Group's 10 important considerations when preparing Annual Reports on Form 10-K in 2023, organized in two categories: 1. Six Housekeeping Considerations:...more

Herbert Smith Freehills Kramer

Corporate Governance: 2022 Year-End Review

Herbert Smith Freehills Kramer on

Since Kramer Levin issued its Corporate Governance: 2022 Midyear Review, a wave of enforcement actions by the Department of Justice (DOJ) and Securities and Exchange Commission (SEC) has underscored the continued importance...more

Woods Rogers

Proposed SEC Cybersecurity Rules Require Public Companies to Act Now

Woods Rogers on

This month, the Securities and Exchange Commission (SEC) proposed new cybersecurity disclosure rules for publicly traded companies. The comment period is ongoing, but the take-away for public companies is immediate: a public...more

Orrick, Herrington & Sutcliffe LLP

The SEC’s Proposed New Cybersecurity Disclosure Requirements: Key Takeaways for Issuers

Orrick, Herrington & Sutcliffe LLP on

The SEC has proposed new disclosure rules for public companies regarding cybersecurity incidents and related policies and procedures. We will discuss in a forthcoming post practical considerations and best practices that...more

Holland & Knight LLP

SEC Issues First-Ever Penalties for Deficient Cybersecurity Risk Controls

Holland & Knight LLP on

The U.S. Securities and Exchange Commission (SEC) has launched a stunning salvo across the bows of public companies with its announcement of civil monetary penalties and a cease-and-desist order against First American...more

Morgan Lewis

The SEC Staff Takes On ESG Investing

Morgan Lewis on

In the US Securities and Exchange Commission staff’s most recent guidance addressing environmental, social, and governance (ESG) investing, the staff of the Division of Examinations released an April 9 Risk Alert noting...more

Orrick, Herrington & Sutcliffe LLP

Securities and Other Shareholder Litigation in the Wake of COVID-19

Orrick, Herrington & Sutcliffe LLP on

The current bear market began only a month ago and the securities plaintiffs’ bar wasted no time bringing its first set of actions. The stock market decline caused by COVID-19 has led to economic conditions this country has...more

Thomas Fox - Compliance Evangelist

Ex-Braskem CEO Indicted on FCPA, AML and Books and Records Charges

Thomas Fox - Compliance Evangelist on

Yesterday, the Department of Justice (DOJ) announced three charges against Jose Carlos Grubisich, the former Chief Executive Officer (CEO) of Braskem S.A. (Braskem), a publicly traded Brazilian petrochemical company, for his...more

Skadden, Arps, Slate, Meagher & Flom LLP

Shareholder Activism Trends in the 2019 Proxy Season

Skadden, Arps, Slate, Meagher & Flom LLP on

In 2018, robust U.S. and global M&A activity substantially mitigated the downside risk for activist investors. With political uncertainty ahead of the 2020 presidential election, unsettled questions on trade and tariffs, and...more

Bass, Berry & Sims PLC

SEC Issues Updated Guidance on Cybersecurity Risk Disclosures and Trading on Nonpublic Cybersecurity Information

Bass, Berry & Sims PLC on

On February 21, 2018, the U.S. Securities and Exchange Commission (SEC) issued updates to its interpretive guidance on how public companies should disclose cybersecurity breaches and risks. There are two core messages at...more

Sheppard Mullin Richter & Hampton LLP

The Numbers Don’t Lie: The SEC Pursues a More Streamlined Enforcement Agenda

Sheppard Mullin Richter & Hampton LLP on

One of the most eye-catching items in the recently released 2017 Annual Report of the Enforcement Division of the Securities and Exchange Commission (SEC or the Commission) is the significant decline in enforcement activity...more

Skadden, Arps, Slate, Meagher & Flom LLP

Preparing for Tax Reform: The Current State of Play on Proposed Changes to Executive Compensation and Employee Benefits

Skadden, Arps, Slate, Meagher & Flom LLP on

On November 16, 2017, the House of Representatives voted to approve its version of the Tax Cuts and Jobs Act. The Senate is expected to vote on its version of the bill following the Thanksgiving break, which would require a...more

Cadwalader, Wickersham & Taft LLP

Equifax Data Breach Highlights SEC Disclosure Obligations for Public Companies in the Wake of Cybersecurity Attacks

Cadwalader, Wickersham & Taft LLP on

On September 7, 2017, Equifax, one of the country’s three primary credit reporting bureaus, announced it had suffered a major cybersecurity breach that could potentially affect half of the U.S. population. According to the...more

Jones Day

Proposed UK Corporate Governance Reforms Target Executive Pay Justification, Employee Engagement

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The Situation: The UK government has proposed several corporate governance reforms in an effort to improve transparency and accountability in private and public employers....more

Proskauer - Whistleblower Defense

The Northern District of New York Applies the “Reasonable Belief” Standard

Proskauer - Whistleblower Defense on

On May 11, 2017, the Northern District of New York applied the Second Circuit’s standard for evaluating a Dodd-Frank retaliation claim in response to a motion to dismiss under F.R.C.P. Rule 12(b)(6). The court denied the...more

Skadden, Arps, Slate, Meagher & Flom LLP

"SEC Disclosure Brexit Trends"

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Three months after the United Kingdom voted to exit the European Union, the timing and scope of Brexit remain unclear. Until such details are determined with specificity, there is and will continue to be increased economic...more

Akin Gump Strauss Hauer & Feld LLP

Federal Counterpart to New York’s Investigation of Climate Change Disclosures by Fossil Fuel Companies

Akin Gump Strauss Hauer & Feld LLP on

Recently, three House Democrats urged the Department of Justice (DOJ) to launch an investigation of an alleged conspiracy by the fossil fuel industry to deceive the public on climate change in order to benefit the sale of its...more

K&L Gates LLP

Are Public Companies Required to Disclose that the Government is Investigating Them?

K&L Gates LLP on

For many public companies, the first issue they have to confront after they receive a government subpoena or Civil Investigative Demand (“CID”) is whether to disclose publicly that they are under investigation. Curiously, the...more

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