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Searching Content indexed under Corporate/Commercial Law by Kenneth Herzinger ordered by Published Date Descending.
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The SEC's Authority To Enforce The Bank Secrecy Act Is Challenged
In the past few years, the SEC has become increasingly active in bringing enforcement actions based on broker-dealers' alleged failures to comply ...
United States
24 Jul 2018
2
The SEC's Authority To Enforce The Bank Secrecy Act Is Challenged
In the past few years, the SEC has become increasingly active in bringing enforcement actions based on broker-dealers' alleged failures to comply with requirements of the Bank Secrecy Act (BSA) ...
United States
18 Jul 2018
3
Ken Herzinger Comments On The SEC's Announcement That Cybersecurity Tops Its List Of Enforcement Priorities
According to Ken, who formerly served as an attorney in the SEC's Enforcement Division, the Commission has ramped up its cybersecurity enforcement in recent years.
United States
26 Jun 2017
4
The SEC Wins First Jury Trial In A Muni Case: SEC v. City Of Miami And Michael Boudreaux
In what the SEC called "the first federal jury trial by the SEC against a municipality or one of its officers for violations of the federal securities laws"....
United States
20 Sep 2016
5
Even Whistleblowers Must Pay The Piper
In a heavily redacted decision issued on April 5, 2016, the SEC approved the claim of one whistleblower and denied the claim of another for providing information related to an unidentified enforcement action.
United States
18 Apr 2016
6
SEC Speaks – What To Expect In 2016
The leaders of the Securities and Exchange Commission ("SEC" or "Commission") addressed the public on February 19-20 at the annual SEC Speaks conference in Washington, D.C.
United States
2 Mar 2016
7
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
8
Friend Of The Court And Friend Of The Little Guy? State Securities Regulators Tell D.C. Circuit In Amicus Brief That SEC's Regulation A+ Is Too Expansive In Defining "Qualified Purchasers"
On September 2, 2015, the North American Securities Administrators Association filed an amicus brief siding with Montana and Massachusetts in a bid to overturn the SEC's new capital-raising rule...
United States
15 Sep 2015
9
SEC Awards Third Highest Whistleblower Award To Date
This latest multi-million dollar payout suggests that the SEC's whistleblower program is in full swing, and that legal representation of whistleblowers may be on the rise.
United States
30 Jul 2015
10
Will You Blow The Whistle Or Should I? The SEC Grants An Award To A Whistleblower Who Learns Of Fraud From Another Employee
Last week, the Securities and Exchange Commission announced an award payout of between $475,000 and $575,000 to a former company officer who reported information about an alleged securities fraud.
United States
19 Mar 2015
11
How Much Latitude Do Directors Have In Setting Executive Compensation?
Executive compensation decisions are core functions of a board of directors and, absent unusual circumstances, are protected by the business judgment rule.
United States
2 Oct 2013
12
A Ponzi Of A Different Color
High profile schemes perpetrated by Bernie Madoff, Allen Stanford, Nevin Shapiro, and others have brought, or at least reinforced, a general understanding of the term "Ponzi scheme" into the public lexicon.
United States
9 Sep 2013
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