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Searching Content indexed under Securities by William McLucas ordered by Published Date Descending.
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1
Final Decision In Lorenzo v. SEC
The Supreme Court yesterday took a significant step to expand the universe of actors who can be held liable for a false statement under the federal securities laws.
United States
29 Mar 2019
2
SEC Pick's Banking Ties Are An Asset
Despite consternation from some quarters, Jay Clayton's experience representing Wall Street firms and other public companies is an asset not a liability for the Securities and Exchange Commission.
United States
16 Mar 2017
3
Change And Continuity In Securities Regulation
The election of Donald Trump as the next President and the continued Republican control of Congress raise questions as to what changes may be expected at the Securities and Exchange Commission and what may stay the same.
United States
7 Dec 2016
4
SEC Examiners Focus On Investment Adviser And Broker-Dealer Compliance With Whistleblower Rules
The Risk Alert reflects the most comprehensive guidance from the agency to date regarding its expectations for corporate compliance with the Dodd-Frank whistleblower provisions.
United States
2 Nov 2016
5
SEC Settlements Put Severance Agreements Under Increased Scrutiny
The US Securities and Exchange Commission (SEC) recently announced settlements with two companies for using severance agreements that allegedly violated Rule 21F-17.
United States
18 Aug 2016
6
Four Things Companies Should Know About The SEC's 2015 Whistleblower Report
The Securities and Exchange Commission (‘‘SEC'') recently published data showing significant increases in tips received under its Dodd-Frank Whistleblower Program.
United States
23 Dec 2015
7
Four Things Companies Should Know About the SEC's 2015 Whistleblower Report
The SEC recently published data showing significant increases in tips received under its Dodd-Frank Whistleblower Program.
United States
24 Nov 2015
8
PCAOB Announces First Settled Order With Admissions
Last week, the Public Company Accounting Oversight Board joined the list of regulators who will, in certain circumstances, seek admissions of liability from audit firms and individuals in settlements.
United States
12 Oct 2015
9
Second Circuit Allows Whistleblower Retaliation Protection Without Reporting To SEC
Since 2011, the federal courts have focused on an inconsistency between two provisions in Section 21F of the Securities Exchange Act of 1934, as modified by Dodd-Frank.
United States
16 Sep 2015
10
How To Rein In The SEC
Over the past year or so, commentators, judges, the defense bar and Congress have assailed efforts by the Securities and Exchange Commission to move more of its enforcement actions out of federal court and into the agency's in-house hearings.
United States
4 Jun 2015
11
SEC Applies Whistleblower Interference Rule To Corporate Confidentiality Requirement
On April 1, the US Securities and Exchange Commission issued—in a settled administrative proceeding—a cease-and-desist order in In the Matter of KBR, Inc., directing that the respondent cease violating Commission Rule 21F-17(a).
United States
28 Apr 2015
12
Review Of SEC Enforcement Developments In 2014, And A Look Forward
Securities and Exchange Commission Chair Mary Jo White has called for the SEC to be more aggressive in its enforcement program.
United States
11 Mar 2015
13
Top SEC Enforcement Events Of 2014
This past fiscal year, ending September 30, 2014, was an active one for the Division of Enforcement at the U.S. Securities and Exchange Commission ("SEC").
United States
27 Feb 2015
14
SEC Probes Corporate Interactions with Whistleblowers
According to a February 25, 2015 Wall Street Journal report, in recent weeks the SEC has sent requests to a number of companies seeking years of nondisclosure agreements, employment contracts and other documents as part of an agency probe into the potential silencing of corporate whistleblowers.
United States
27 Feb 2015
15
Understanding The Global Reach Of U.S. Whistleblower Anti-Retaliation Protections
As the Securities and Exchange Commission’s Whistleblower Program continues to gain traction, reports of compliance concerns are likely to increase.
United States
15 Jul 2014
16
Whistleblower Working Group Members Publish Series On Mitigating Risks Under Dodd-Frank Act
Members of WilmerHale's Dodd-Frank Whistleblower Working Group recently published an article series in the January and April editions of Bloomberg BNA's Securities Regulation & Law Report.
United States
17 Apr 2014
17
Attorneys Caught In The Ethical Crosshairs: Secretkeepers As Bounty Hunters
Imagine you are counsel to a public company and are tasked with reviewing its annual 10-K. In the course of your review, you confer with a number of individuals in the finance and accounting functions and they report that a significant number of post-close adjustments were made at year end and these adjustments ..
United States
15 Apr 2014
18
Top Five SEC Enforcement Events In 2013
This article reviews a selection of the top five Securities and Exchange Commission Enforcement events of 2013.
United States
13 Mar 2014
19
Update: SEC's Financial Reporting And Audit Task Force
On February 11, Margaret McGuire, Vice Chair of the US Securities and Exchange Commission's (SEC) Financial Reporting and Audit Task Force (Task Force), participated in a DC Bar panel discussion to review the objectives, administration and early initiatives of the Task Force since its formation was announced by the SEC last July.
United States
20 Feb 2014
20
Don’t Tread On Whistleblowers: Mitigating And Managing Retaliation Risks — Part II
In the first installment of this Article published Jan. 13, we discussed, in Parts I and II, the broad antiretaliation provisions in SOX and in Dodd-Frank designed to protect employees from adverse employment actions taken in response to the employee's report of possible securities law violations within the organization and to the SEC.
United States
30 Jan 2014
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