Popular, Publicly-Traded Companies, Insider Trading

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

McGlinchey Stafford on 7/10/2025

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

Don’t Forget to Coordinate Your ‘EDGAR Next’ Enrollment for Mutual Insiders!

Cooley LLP on 5/28/2025

We’ve blogged multiple times about how you should prepare to transition to the SEC’s new “EDGAR Next” platform (here’s our latest post). We are now in that transition period where some companies are voluntarily enrolling in...more

Early Lock-Up Releases: Overview and Trends

Cooley LLP on 1/21/2025

Lock-up agreements prohibit company insiders (founders, directors, executive officers and major stockholders) and other pre-IPO stockholders from selling their shares for a period of time after an offering. Lock-ups are...more

Out from the Shadows: The SEC Succeeds on Shadow Insider Trading Theory

Vinson & Elkins LLP on 4/16/2024

The Securities and Exchange Commission obtained a victory in a closely-watched trial when a jury found Matthew Panuwat liable for insider trading based on a “shadow trading” theory. The jury’s verdict, as well as increased...more

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

Foley Hoag LLP - White Collar Law &... on 2/27/2024

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

Preparing for the 2024 Public Company Reporting Season

Perkins Coie on 12/15/2023

In anticipation of the upcoming reporting season, this Update highlights some of the most significant rule changes, guidance, institutional investor areas of focus, and trends for public companies to consider in preparing...more

Nutter Securities Enforcement Update: 2022 SEC Retrospective

Nutter McClennen & Fish LLP on 1/5/2023

2022 was a busy year for the SEC’s Enforcement Division. This 2022 Retrospective highlights some of the year’s notable cases, largest settlements, new and noteworthy theories, and court decisions worth remembering....more

The SEC’s Continued Focus on Cybersecurity Enforcement

Herbert Smith Freehills Kramer on 7/8/2021

On June 14, the Securities and Exchange Commission (SEC) announced a $490,000 settlement with the real estate services provider First American Financial Corporation (First American) for violations of disclosure controls and...more

Spotting and Mitigating Enforcement Issues Concerning Cybersecurity-Related Controls and Disclosures

Morgan Lewis on 9/11/2020

The growing frequency and public awareness of cyberincidents, evolution of technologies employed by intruders, and proliferation of personal data and infrastructure vulnerable to attack have all contributed to heightened...more

SEC Issues Disclosure Guidance as Part of Continued Focus on Cybersecurity

Moore & Van Allen PLLC on 9/18/2018

As cybersecurity attacks have continued to gain prominence as a threat posing critical risk management and compliance challenges for financial institutions, the Securities and Exchange Commission (SEC) has emerged as an...more

Securities and Corporate Governance Update – August 2018

BCLP on 8/28/2018

This newsletter discusses noteworthy updates, key regulatory decisions and upcoming compliance reminders. In this edition we review... ...more

SEC Commissioners Provide Guidance on Cybersecurity Disclosures After Wave of Record Incidents

Orrick, Herrington & Sutcliffe LLP on 3/14/2018

The Commission's "new" cybersecurity guidance largely rehashes existing guidance, as is highlighted by objections from two commissioners. At most, the additional qualitative guidance is incremental. It reiterates the need to...more

The SEC wants companies to talk about cybersecurity

Eversheds Sutherland (US) LLP on 3/8/2018

On February 21, 2018, the Securities and Exchange Commission issued an interpretive release1 providing important guidance to certain registrants on cybersecurity disclosure. Coming on the heels of dozens of high-profile...more

SEC Cybersecurity Disclosure and Controls Checklist

Stinson - Corporate & Securities Law Blog on 3/6/2018

In February 2018 the SEC outlined its views with respect to cybersecurity disclosure requirements under the federal securities laws as they apply to public reporting companies. Set forth below is a checklist of items included...more

SEC Releases Updated Cybersecurity Guidance

Fenwick & West LLP on 2/28/2018

The U.S. Securities and Exchange Commission on Feb. 21, 2018, issued interpretive guidance on public company cybersecurity disclosures. The new guidance will affect public companies and companies seeking to go public in...more

Déjà Vu All Over Again: SEC Provides Cybersecurity Guidance

Pillsbury Winthrop Shaw Pittman LLP on 2/27/2018

The U.S. Securities and Exchange Commission has issued guidance on cybersecurity disclosure. Companies must establish and maintain appropriate disclosure controls and procedures to make accurate and timely disclosures of...more

SEC Releases Guidance on Public Company Cybersecurity Disclosures

Ballard Spahr LLP on 2/23/2018

On February 21, 2018, the U.S. Securities and Exchange Commission approved the release of Interpretive Guidance relating to public company disclosures of cybersecurity risks and incidents. ...more

U.S. Securities and Exchange Commission Updates Cybersecurity Disclosure Guidance - Agency Continues to Prioritize Cybersecurity...

Holland & Knight LLP on 2/23/2018

• The U.S. Securities and Exchange Commission (SEC) released, on Feb. 21, 2018, updated guidance regarding public company cybersecurity disclosures. The guidance updates the Commission's 2011 non-binding guidance and...more

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