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SEC Encourages Self-Reporting of Recordkeeping Violations Resulting From Employees’ Use of Personal Devices for Business Communications

USA - January 11 2022 On December 17, 2021, the U.S. Securities and Exchange Commission (SEC) announced settled charges against a broker-dealer firm for recordkeeping…

Stephen L. Cohen, Ranah Esmaili, Corin R. Swift, Lara C. Thyagarajan

Proposed SEC Rules Would Require More Detailed, Next-Business-Day Disclosure of Corporate Buybacks

USA - December 20 2021 On December 15, 2021, the U.S. Securities and Exchange Commission (SEC), by a 3-2 vote, proposed amendments to require more frequent and detailed…

Sonia Gupta Barros, W. Hardy Callcott, John P. Kelsh, William R. Massey, Prabhat K. Mehta

SEC Proposes Significant Changes to Rule 10b5-1 Trading Regime and Related Disclosures

USA - December 20 2021 On December 15, 2021, the U.S. Securities and Exchange Commission (SEC) unanimously approved rule proposals intended to “help close potential gaps in…

Sonia Gupta Barros, W. Hardy Callcott, John P. Kelsh, William R. Massey, Prabhat K. Mehta

SEC Fines Alternative Data Provider for Securities Fraud

USA - September 30 2021 On September 14, 2021, the U.S. Securities and Exchange Commission (SEC) settled an enforcement action against App Annie Inc., an alternative data…

W. Hardy Callcott, Stephen L. Cohen, Ranah Esmaili, Laurin Blumenthal Kleiman, Ryan L. Parchment

Implications of SEC’s Recent Insider Trading Enforcement Action in SEC v. Matthew Panuwat

USA - August 26 2021 On August 17, 2021, the U.S. Securities and Exchange Commission (SEC) filed a litigated complaint against a former employee of a biopharmaceutical…

Stephen L. Cohen, Ranah Esmaili, Nader H. Salehi