Carrington M. Giammittorio

Haynes and Boone LLP

Articles

Results 1 to 5 of 11


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…

Kit Addleman, Timothy Newman

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…

Kit Addleman, Timothy Newman

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…

Kit Addleman, Tammie Banko

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…

Kit Addleman, Daniel H. Gold