Topic
sec enforcement
256 published works
Proskauer Whistleblower Defense
SDNY: Confidentiality Agreement Impeded Investors from Whistleblowing
By Steven J. Pearlman, Pinchos Goldberg, Scott Tan
On November 17, 2021, the U.S. District Court for the Southern District of New York held that a company and its CEO violated Rule 21F-17 of the Exchange Act by…
The SEC Institute Blog
PLI’s InSecurities Podcast Explores 2021 SEC Enforcement Results
On November 18, 2021, the SEC issued a detailed Press Release reviewing Enforcement Division activity for 2021. This Press Release, while a departure from the “glossy” annual report in previous…
SEC Actions
This Week In Securities Litigation (Week of December 6, 2021)
The focus is on the future. Many are hazarding guesses on the direction of SEC Enforcement based on mixing the results from the last fiscal year together with current cases…
The D&O Diary
New SEC Enforcement Actions Overall Increased in FY 2021
In a post last week, I noted that in FY 2021 the SEC had flied fewer enforcement actions against public companies compared to FY 2020. However, according to the SEC’s…
The Capital Commitment
2021 SEC Enforcement Results – Takeaways for Fund Managers
By Joshua M. Newville, Samuel J. Waldon
On November 18, 2021, the SEC’s Division of Enforcement announced its Enforcement Results for Fiscal Year 2021, and there are a few key takeaways for fund managers. In spite of…
SEC Actions
SEC Enforcement: Public Companies and Subsidiaries
Cornerstone Research and the NYU Pollack Center issued their annual report titled SEC Enforcement Activity: Public Companies and Subsidiaries for 2021 (here). The Report identifies trends in a subsection of…
The D&O Diary
Public Company SEC Enforcement Activity Declined in FY 2021
According to the latest report from the NYU Pollack Center for Law & Business in conjunction with Cornerstone Research, SEC Enforcement Activity against publicly traded companies and their subsidiaries declined…
The CLS Blue Sky Blog
Regulating via Social Media: Deterrence Effects of the SEC’s Use of Twitter
By Jinjie Lin
Social media is widely used to create, disseminate, and consume information. Today, around seven in 10 U.S. adults use social media.[1] Additionally, more than half of Americans at least occasionally…
FCPA Professor
Laughing Out Loud At Certain Portions Of SEC Chair Gensler’s Speech
By Mike Koehler
Yesterday, SEC Chair Gary Gensler delivered this speech. I literally laughed out loud as to certain portions of Gensler’s speech. I didn’t laugh because what Gensler said was unreasonable. To…
Life Sciences Perspectives
Goodwin Webinar Series: Life Sciences Disputes
By Securities Litigation Group
Goodwin is pleased to invite you to our Life Sciences Disputes webinar series, which will highlight current topics across our Securities Litigation and Antitrust practice areas that affect life sciences…