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SEC Settles With 71 Municipal Issuers
  • Dorsey & Whitney LLP
  • USA
  • August 24 2016

The Commission’s Municipalities Continuing Disclosure Cooperation Initiative has been a significant success. Under the Initiative the agency has filed


A new trend? New York Attorney General settles first climate change disclosure case
  • Dorsey & Whitney LLP
  • USA
  • November 11 2015

New York Attorney General (“NY AG”) Eric T. Schneiderman may be leading the way again. In the past, the office pursued investigations using New


This week in securities litigation (week ending September 19, 2014)
  • Dorsey & Whitney LLP
  • USA, Australia, United Kingdom, Hong Kong
  • September 19 2014

The Commission continued with broken windows this week. Twenty Rule 105 short selling cases were filed in a group. Last week another group of broken


The SEC in the office fails to deter insider trader
  • Dorsey & Whitney LLP
  • USA
  • September 17 2014

The theory of "broken windows," the enforcement approach being pursued by the SEC, is that prosecuting all violations large and small creates


The origins of the FCPA: lessons for effective compliance and enforcement part three
  • Dorsey & Whitney LLP
  • USA
  • September 16 2014

The foreign payments cases held the organization and the individuals involved accountable while improving corporate governance for the benefit of the


The origins of the FCPA: lessons for effective compliance and enforcement: part two
  • Dorsey & Whitney LLP
  • USA
  • September 14 2014

The preliminary inquiry was followed by formal SEC investigations early in 1974. The resulting cases would become known as the “illicit or foreign


This week in securities litigation (week ending September 12, 2014)
  • Dorsey & Whitney LLP
  • USA
  • September 12 2014

The SEC continued with its “broken windows” approach to enforcement this week, filing a group of 34 actions based on the failure to file either a


The SEC continues “Broken Windows” is it effective enforcement?
  • Dorsey & Whitney LLP
  • USA
  • September 11 2014

Broken Windows is the enforcement strategy adopted by the SEC as part of its "prosecute every violation big and small" approach in an effort to


SEC USAO file actions based on scheme to conceal ownership
  • Dorsey & Whitney LLP
  • USA
  • September 10 2014

Building on an undercover sting operation, the SEC filed an enforcement action against two individuals and their controlled entity. They are alleged


The origins of the FCPA: lessons for effective compliance and enforcement
  • Dorsey & Whitney LLP
  • USA
  • September 9 2014

Can one man make a difference? Stanley Sporkin is proof that the answer is “yes.” In the early 1970s he sat fixated by the Watergate Congressional