Carrington M. Giammittorio
Haynes and Boone LLP
Articles
SEC Announces Proposed Cybersecurity Rules for Advisers and Funds
USA - February 22 2022 On February 9, the Securities and Exchange Commission announced proposed new rules related to cybersecurity risk management for registered…
SEC Enforcement Highlights Fiscal Year 2021
USA - December 7 2021 Fiscal Year 2021 was a year of transition at the U.S. Securities and Exchange Commission. New leadership under the Biden Administration ushered in…
Kit Addleman, Tammie Banko, Ben Breckler, Daley Epstein, Neil Issar, Taryn McDonald, Timothy Newman
SEC Scrutinizes Response to Cyberattacks at Eight Firms
USA - September 3 2021 Eight broker-dealer and investment adviser firms were sanctioned by the U.S. Securities and Exchange Commission (“SEC”) on August 30, 2021, for…
SEC Enforcement Action Slices into The Cheesecake Factory’s COVID-19 Disclosures
USA - December 9 2020 On December 4, 2020, the Securities and Exchange Commission (“SEC”) filed its first pandemic-related enforcement action against a public company for…
Fraud, (Don’t) Pass it on: U.S. Supreme Court Affirms Extension of 10b-5 Liability to Disseminators
USA - March 29 2019 On Wednesday, the U.S. Supreme Court held in Lorenzo v. Securities and Exchange Commission, that a person can be held liable for fraud under…
