Every year, autumn brings hayrides, changing leaves, family gatherings, sweater weather, the chance to savor a cup of black tea by a roaring fire—and a raft of Securities and Exchange Commission (SEC) ...
A trio of enforcement actions brought by the Securities and Exchange Commission in September sounds a warning bell for all companies to revisit their existing employee agreements, being particularly ...
The Securities and Exchange Commission's internal watchdog, fresh off issuing a blistering report on how the agency bungled its handling of the Bernard L. Madoff case, offered on Thursday a series of ...
NewYork(Thomson Reuters Regulatory Intelligence) - Corporate executives who feel left behind or simply lack time to build a Twitter following must have experienced a bit of schadenfreude when Tesla ...
These and other questions illustrate why complying with the U.S. Securities and Exchange Commission’s (SEC/Commission) amended Cybersecurity Disclosure Rule—which was formally adopted one year ago and ...
At the trial of a Citigroup executive a year ago, Matthew Martens attended as a spectator and watched the defense win jurors over with the “Where’s Waldo” argument. The jury cleared Brian Stoker of ...
Since enacting the Securities Exchange Act in 1934, Congress has repeatedly expanded the arsenal of the SEC to protect investors through enforcement actions. As a result, the SEC—though constrained by ...
The revolving door between the U.S. cryptocurrency industry and Wall Street’s top cop has been particularly active this year — a trend that one former SEC lawyer who now defends crypto clients in the ...
On June 18, 2015, the SEC announced settlements with 36 municipal securities underwriters that had voluntarily self-reported potential securities law violations pursuant to the Municipalities ...
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