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Hold The Phone: SEC Takes One Last Stand Before The Tenth Circuit Regarding The Constitutionality Of The SEC's Administrative Law Judges
Last week, the United States Securities and Exchange Commission filed a petition for rehearing en banc with the Tenth Circuit Court of Appeals...
United States
31 Mar 2017
No Longer A Mirage: FCPA Compliance And Cooperation Has Its Benefits
On September 12, 2016, the SEC announced that it had reached a settlement with Jun Ping Zhang, a former executive of a Chinese subsidiary of Harris Corporation, regarding alleged violations of the FCPA.
United States
30 Sep 2016
The SEC Audit Trail – Several Industry Groups See Problems As Currently Proposed
Last week, several securities industry groups filed critical responses to the SEC's plan for an audit trail.
United States
1 Aug 2016
The SEC Critiques Itself – Could Changes To SEC Enforcement Investigations Be On The Way?
Last week, the SEC's Office of Inspector General ("OIG") released its semiannual report to Congress, which details the OIG's independent and objective audits, evaluations, investigations and other reviews...
United States
7 Jun 2016
SEC Chair Warns Silicon Valley That Unicorns Need To Be Watched And Monitored
Speaking last week at the SEC's and Rock Center's Silicon Valley Initiative at Stanford Law School, SEC Chair Mary Jo White cautioned Silicon Valley's start-up companies regarding their potential lack of internal controls.
United States
14 Apr 2016
Mark Cuban Challenges The Referee: The Constitutionality Of SEC In-House Courts
Lucia's appeal stems from the SEC's prosecution of Lucia in an administrative proceeding for misleading prospective clients about the company's retirement wealth management strategy.
United States
23 Feb 2016
Overstock Digital Wars: A New Market Awakens
On the eve of the much anticipated release of Star Wars: The Force Awakens, the SEC approved Overstock Inc.'s plan to issue digital shares.
United States
31 Dec 2015
Investing In The Next "Big Thing" Just Got Easier – SEC Promulgates New Crowdfunding Rules
Crowdfunding is the use of small amounts of capital from a large number of investors to finance new business ventures.
United States
11 Nov 2015
Judge Berman Deflates SEC's ALJ Appointment Process
On August 12, 2015, Judge Berman issued a preliminary injunction against the SEC preventing it from continuing its administrative proceeding against a former Standard & Poor's rating services ("S&P") executive, Barbara Duka.
United States
27 Aug 2015
For Now, The Broad Interpretation Of "Foreign Officials" Under The FCPA Is Here To Stay
The DOJ and SEC have successfully advocated the theory that state-owned or state-controlled entities should qualify as instrumentalities of a foreign government under the FCPA.
United States
23 Oct 2014
Flash Rules: Is A Wall Street Reform On The Horizon Or Is The SEC Merely Reacting To The Latest Media Headline?
Michael Lewis' new book Flash Boys: A Wall Street Revolt has caused a commotion on Wall Street, on Capitol Hill, and with law enforcement agencies.
United States
25 Jun 2014
Are Confidential Witness Reforms Looming On The Horizon? Can The Plaintiff's Bar Stop Them?
A decision is expected shortly in the highly publicized so-called confidential witness "scandal" involving the Robbins Geller Rudman & Dowd law firm.
United States
27 Jan 2014
Lookout For The SEC: After First Demanding More Admissions, The SEC Is Additionally Increasing Monetary Penalties And Giving Advice To Defense Counsel
After first announcing a change on June 18 of this year to demand more admissions in SEC actions, an SEC leader recently made further comments echoing that same sentiment, as well as referencing the SEC's intended use of stiffer monetary penalties.
United States
10 Oct 2013
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