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Supreme Court: SEC Disgorgement Claims Are Subject to Five-Year Statute of Limitations

USA - June 5 2017 Under 28 U.S.C. 2462, government “enforcement of any civil fine, penalty, or forfeiture, pecuniary or otherwise,” must be commenced within five...

Peter H. White.

Second Circuit clarifies insider trading liability of tippees

USA - December 15 2014 In its highly anticipated decision in U.S. v. Newman, the U.S. Court of Appeals for the Second Circuit held on Dec. 10 that to sustain insider...

Eric A. Bensky, Martin L. Perschetz, Craig Stein, Marc E. Elovitz, Howard Schiffman.

SEC update: enforcement program taking shape under new leadership

USA - June 24 2013 U.S. Securities and Exchange Commission Chairman Mary Jo White last week announced an important change to the SEC's policy of permitting parties to...

David K. Momborquette, Harry S. Davis.

SEC whistleblower rules encourage but do not require internal reporting

USA - June 2 2011 A month after their scheduled release date, the Securities and Exchange Commission ("SEC") voted 3-2 to adopt final rules implementing the hotly-debated whistleblower provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act")....

David K. Momborquette, Holly H. Weiss.

SEC proposes whistleblower program rules

USA - November 12 2010 On November 3, 2010, the Securities and Exchange Commission ("SEC") proposed widely anticipated rules that would implement the whistleblower provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank")....