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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...

Carrington M. Giammittorio, Daniel H. Gold.

Assessing the SEC's FY 2018 Enforcement Results

USA - November 29 2018 The SEC’s Division of Enforcement recently issued its annual report detailing enforcement activities, statistics, and changes made in the past fiscal...

Noor Wadi, Timothy Newman.

SEC Brings First Enforcement Action Against a Public Company for Failing to Disclose Data Breach

USA - April 30 2018 On April 24, 2018, the Securities and Exchange Commission (“SEC” or the “Commission”) announced its first enforcement action against a public company...

C.J. Donald, Timothy Newman.

Frequent Fee Follies: OCIE Identifies Most Frequent Advisory Fee Compliance Issues

USA - April 20 2018 Last week, the Security and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) released a Risk Alert covering the most...

Liz Dankers.

Say Something, but to the Right People: Supreme Court Clarifies Definition of “Whistleblower” Under Dodd-Frank

USA - February 22 2018 Yesterday, the U.S. Supreme Court significantly narrowed the scope of the Dodd-Frank Act's anti-retaliation measures. The decision resolved a split in...

Carrington M. Giammittorio, Timothy Newman.