Results 1 to 5 of 13

SEC Announces First “EPS Initiative” Enforcement Actions

USA - October 14 2020 The enforcement actions provide early clues on how the SEC's "risk-based data analytics" may flag public companies for investigation…

John J. Sikora Jr., Jack M. McNeily, Adam L. Rosenbloom, Heather A. Waller

Illinois’ Stay-at-Home Order: What Businesses Need to Know

USA - March 21 2020 The Order requires many businesses to close, but allows essential industries to continue operating, and permits employees to work remotely, as…

Terra Reynolds, Nicholas J. Siciliano, Heather A. Waller

Liability Under the Federal Securities Laws for Media Personalities

USA - June 29 2018 How statements in both traditional and new media outlets may catch the SEC's attention. From music moguls and sports icons promoting cryptocurrencies…

John J. Sikora Jr.

What the Supreme Court’s Whistleblower Decision Means for Companies

USA - February 28 2018 By limiting the availability of Dodd-Frank whistleblower anti-retaliation provisions, the Court's decision may incentivize increased SEC reporting. In…

Norman G. Anderson, William R. Baker III, Linda M. Inscoe, Roman Martinez, Matthew J. Peters, Marcy C. Priedeman, Nathan H. Seltzer

Multitudes, multitudes: the SEC’s Asset Management Unit delivers important messages for investment advisers

USA - April 10 2015 On February 26, Julie Riewe, the Co-Chief of the SEC’s Asset Management Unit (AMU), delivered a speech1 to the IA Watch 17th Annual IA Compliance…

John J. Sikora Jr.