SEC enforcement developments affecting public companies – first half of 2011 *

USA - August 3 2011
During the first half of 2011, the SEC continued to focus on prosecuting violations of the FCPA and also filed several actions against public companies and their officers and directors charging them with making false or misleading financial and other disclosures.

Co-authors: Peter J. Romeo, Richard J. Parrino.

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SEC issues rules implementing Dodd-Frank whistleblower provisions *

USA - June 8 2011
On May 25, the SEC issued a new Regulation 21F under the Exchange Act to implement the whistleblower directive under the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank)

Co-authors: Paul Hilton, Peter J. Romeo, Alan L. Dye, Richard J. Parrino.

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Securities litigation review *

USA - January 7 2011
The Enforcement Division announced an initiative in early 2010 - paralleling Department of Justice (DOJ) policies - offering the carrot of non-prosecution agreements to encourage greater cooperation by companies and individuals.

Co-authors: Ty Cobb, George A. Salter , Norman J. Blears, Michael J. Shepard.

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SEC proposes regulation to implement Dodd-Frank whistleblower provisions *

USA - December 6 2010
The SEC recently proposed a new Regulation 21F under the Exchange Act to implement the whistleblower directive under the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank).

Co-authors: Paul Hilton, Peter J. Romeo, Richard J. Parrino.

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2009 SEC enforcement developments regarding public companies *

USA - February 24 2010
Although the United States Securities and Exchange Commission (SEC) filed several significant enforcement actions affecting public companies during 2009, the news story of the year was that a new sheriff came to town and put in place profound process changes within the Division of Enforcement.

Co-authors: Douglas B. Paul.

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