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Results: 1-8 of 8

Company avoids SEC charges for Regulation FD violation

  • Hogan Lovells
  • -
  • USA
  • -
  • October 5 2009

On September 24, the SEC announced in Litigation Release No. 21222 that it had settled enforcement proceedings against a public company CFO charged with selectively disclosing earnings guidance to analysts in violation of Regulation FD, or “Fair Disclosure.”

SEC enforcement division announces initiative for cooperating individuals

  • Hogan Lovells
  • -
  • USA
  • -
  • January 20 2010

On January 13, the SEC announced a new policy to provide individuals with immunity from prosecution for providing information to the agency that furthers an investigation

SEC advances cooperation initiatives

  • Hogan Lovells
  • -
  • USA
  • -
  • February 4 2010

In recent weeks, the SEC has taken two important measures that appear to advance its goal of encouraging cooperation by individuals and business organizations

2009 SEC enforcement developments regarding public companies

  • Hogan Lovells
  • -
  • 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

Securities litigation review

  • Hogan Lovells
  • -
  • 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

SEC enforcement developments affecting public companies first half of 2011

  • Hogan Lovells
  • -
  • 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

SEC proposes regulation to implement Dodd-Frank whistleblower provisions

  • Hogan Lovells
  • -
  • 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

SEC issues rules implementing Dodd-Frank whistleblower provisions

  • Hogan Lovells
  • -
  • 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

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