Results 1 to 5 of 62

'Tell Us About Your Crypto Impact' - SEC Posts Sample Comment Letter

USA - December 15 2022 In the wake of increasing financial distress and high-profile events within the cryptocurrency market, the SEC staff recently issued disclosure…

Kit Addleman, Kurt L. Gottschall, Payton Roberts

SEC and CFTC Send $2 Billion Message Regarding Monitoring and Preserving Employee Electronic Communications

USA - October 19 2022 If there is one thing the Securities and Exchange Commission (SEC) does well, it's identifying a discrete and potentially common violation of the…

Kit Addleman, Ronald W. Breaux, Kurt L. Gottschall

Beware of 'The Cheetah' - the SEC’s increased scrutiny of rule 10b5-1 plans

USA - September 22 2022 U.S. Securities and Exchange Commission (“SEC”) Chair Gary Gensler has publicly expressed his view that Rule 10b5-1 “has become antiquated,…

Kit Addleman, Kurt L. Gottschall

California Attorney General Announces First Enforcement Action Under CCPA

USA - September 7 2022 On August 24, California Attorney General Rob Bonta announced the first enforcement action under the California Consumer Privacy Act (CCPA). In a $1…

Ben Breckler, Gavin D. George

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, Carrington M. Giammittorio