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SEC Roars Into March Setting Stage for Heavy Enforcement Activity

USA - March 19 2021 Fittingly, the Securities and Exchange Commission (SEC) came into March like a Lion. Over the first 10 days of March, several significant enforcement…

Insider Trading Policies and Training: Time for Another Refresher?

USA - March 2 2021 There have been a lot of discussions lately concerning ways to restrict or improve disclosure and enforcement of executive trades made under 10b5-1…

SEC Commissioners Square Off Over Enforcement Settlement Process

USA - February 17 2021 In one of her first official actions as Acting Chair of the Securities and Exchange Commission (SEC or Commission), Allison Herren Lee reversed a…

SEC Files First Charges for Inadequate Public Company COVID-19 Disclosures

USA - December 8 2020 In a prelude of things to come for public companies, on December 4 the Securities and Exchange Commission (SEC) sued restaurant operator The…

Sharing is CAR(E)ing: EDVA U.S. Attorney Agrees to Help SIGPR Prosecute CARES Act Fraud

USA - July 27 2020 The newly appointed Special Inspector General for Pandemic Recovery (SIGPR), Brian Miller, struck an important partnership with the U.S. Attorney’s…