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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 a Refresher?

USA - October 8 2019 We recently wrote a three-part article series for Corporate Counsel highlighting recent trends warranting review by public companies and…

Abby Yi.

COVID-19: Mitigating Enforcement and Litigation Disclosure Risks for Public Companies

USA - March 25 2020 The COVID-19 pandemic has created a disclosure nightmare for public companies. The Securities and Exchange Commission (SEC) has recognized this…

Avoiding an SEC Whack after a Cyber Hack

USA - October 5 2018 Adding insult to injury, the Securities and Exchange Commission (SEC) fined Voya Financial Advisors Inc. (VFA) $1 million and ordered a comprehensive…

Michael A. Brady, Abby Yi.

SBA Issues Additional Guidance on “Need” Certification, Extends Safe Harbor Date to May 18

USA - May 13 2020 Just one day before the May 14 safe harbor date for borrowers to repay loans under the Paycheck Protection Program (PPP), the Small Business…

Katie Day, John L. Fuller, Tabitha L. Green, R. Davis Mello, Todd R. Overman.