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In Gabelli v. Securities and Exchange Commission, No. 11-1274, the United States Supreme Court unanimously concluded that the five-year statute of limitations applicable to actions brough...
Rule 10b5-1 plans are back in the news. These plans are widely used by officers and directors of public companies to sell stock according to the parameters of the affirmative defense to i...
The Department of Justice (DOJ) and Securities and Exchange Commission (SEC) have released new guidance on the criminal and civil enforcement provisions of the Foreign Corrupt Practices A...
On September 27, 2012, the SEC’s Office of Compliance Inspections and Examinations (the “OCIE”) issued a Summary Report (the “Report”) on the results of examinations by the SEC,...
On August 21, 2012, the Securities and Exchange Commission (“SEC”) announced its first “whistleblower” award under the Dodd-Frank Act. While the facts relating to the whistleblowe...
On June 6, 2012, the Consumer Financial Protection Bureau (“CFPB”) announced and issued three final rules relating to its procedures and practices for enforcing federal consumer finan...
On March 22, 2012, the Senate voted 96-3 to adopt the House version of the Stop Trading on Congressional Knowledge Act (the “STOCK Act”), which most notably extends insider trading la...
The SEC will no longer permit defendants who admit relevant conduct in parallel criminal proceedings to “neither admit nor deny” that conduct in settlement orders.
The SEC has had a ...
The SEC has now issued rules implementing the Dodd-Frank whistleblower bounty provisions, ushering in a radically new compensation scheme that will affect compliance programs and investig...
Earlier today, in a divided 3-2 vote, the SEC adopted final rules to implement the whistleblower provisions of the Dodd-Frank Act. Overall, the final rules appear more permissive and defe...