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A Closer Look: SEC’s Edgar Hacking Case
  • Patterson Belknap Webb & Tyler LLP
  • USA
  • February 12 2019

Last month, the U.S. Securities and Exchange Commission charged nine defendants with hacking into the agency’s EDGAR system - the online platform

Financial Services Update, Vol. 14, Issue 5
  • Winston & Strawn LLP
  • USA, European Union
  • February 4 2019

The Financial Industry Regulatory Authority, Inc. (FINRA) recently issued its annual, but renamed, Risk Monitoring and Examination Priorities Letter

New Bill Aims to Curtail Covert Insider Trading
  • Paul Hastings LLP
  • USA
  • January 28 2019

Insider trading remains a bedrock of the SEC enforcement program. Roughly 10 of cases brought annually by the SEC’s Division of Enforcement involve

Financial Services Update, Vol. 14, Issue 4
  • Winston & Strawn LLP
  • USA, United Kingdom
  • January 28 2019

Last week, the Pennsylvania Department of Banking and Securities (“DoBS”) released guidance (“Guidance”) on the applicability of Pennsylvania’s Money

New House bill to curb potential abuse of 10b5-1 plans
  • Cooley LLP
  • USA
  • January 24 2019

As noted in thecorporatecounsel.net blog, the Chair of the House Financial Services Committee, Maxine Waters, has introduced H.R. 624, the “Promoting

SEC Study of Corporate Trading Plans to Avoid Insider Trading Abuses Required by House Committee Members in Proposed Law
  • Katten Muchin Rosenman LLP
  • USA
  • January 20 2019

Two members of the House Committee on Financial Services - Chair Maxine Waters and Ranking Member Patrick McHenry - proposed bipartisan legislation

SEC and New Jersey US Attorney’s Office Bring Parallel Charges in EDGAR Hacking Scheme
  • Katten Muchin Rosenman LLP
  • USA
  • January 18 2019

On January 15, the Securities and Exchange Commission announced charges against nine defendants, alleging their participation in a previously

House Bill Would Mandate Rule 10b5-1 Study
  • Mayer Brown
  • USA
  • January 18 2019

On January 18, 2019, Congresswoman Maxine Waters and Congressman Patrick McHenry introduced legislation that would require the Securities and

SEC brings charges in cybersecurity case against hackers of material non-public information
  • Freshfields Bruckhaus Deringer
  • USA, United Kingdom
  • January 16 2019

Yesterday, the Securities and Exchange Commission (SEC) announced charges against nine defendants for participating in a scheme to hack into the SEC’s

Litigation & Arbitration Group Client Alert: The SEC And FCA Enforcement Reports: Some Common Themes
  • Milbank Tweed Hadley & McCloy LLP
  • United Kingdom
  • January 15 2019

In November 2018, the SEC published its second annual enforcement report which provides a summary of the SEC's enforcement-related work during 2018