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Searching Content indexed under Securities by Lex Urban ordered by Published Date Descending.
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Five Things Every Company Should Know About SEC Whistleblowers
The recent payment of $50 million to a pair of whistleblowers should serve as a wake-up call to companies that the SEC's Whistleblower Program is alive and well.
United States
8 Aug 2019
2
SEC Waives "Voluntary" Requirement, Awards Whistleblowers $3 Million
The SEC awarded $3 million to whistleblowers whose tip led to the launch of an SEC investigation and a subsequent successful enforcement action.
United States
19 Jun 2019
3
SEC Awards Whistleblower Over $4.5 Million
The SEC awarded over $4.5 million to a whistleblower for information provided in connection with an SEC case and related action.
United States
11 Jun 2019
4
SEC Awards $50 Million To Two Whistleblowers
The SEC awarded $50 million to two whistleblowers for providing information that helped the agency to bring a successful enforcement action.
United States
9 Apr 2019
5
Corporations, Directors, And Officers: Potential Criminal And Civil Liability
This practice note provides an overview of the law and legal standards governing the imposition of criminal liability on officers, directors, and corporations for the acts of employees.
United States
30 Nov 2018
6
New York Congressman Charged With Insider Trading
The SEC charged the U.S. Representative for New York's 27th Congressional District, his son and a third individual with insider trading.
United States
16 Aug 2018
7
SEC Proposes Amendments To Whistleblower Program
The SEC proposed several rule amendments to its whistleblower program under Exchange Act Section 21F, including clarification of existing rules and technical amendments.
United States
10 Jul 2018
8
Under Advisement: SEC Scrutinizes Wealth Management Industry
Recent events have made it clear that there is an increased regulatory focus on the conduct of investment professionals in the wealth-management industry.
United States
22 Mar 2018
9
SCOTUS Blows The Whistle: Internal Whistleblowers Take Note
A whistleblower is not a whistleblower unless he reports suspected securities law violations to the SEC.
United States
27 Feb 2018
10
Supreme Court Rules Internal Whistleblowers Are Not Protected Under Dodd-Frank
The Supreme Court narrowed the definition of the term "whistleblower" and excluded internal whistleblowers from the anti-retaliation protections provided under Dodd-Frank (see previous coverage).
United States
27 Feb 2018
11
Wild West No Longer: The SEC Brings Enforcement Actions Against Two Initial Coin Offerings
Ending months of speculation about when regulators would wade into the world of Bitcoin and other digital currencies, the U.S. Securities and Exchange Commission ("SEC") recently brought....
United States
20 Oct 2017
12
Hedge Fund Adviser Settles Charges Of Failing To Implement Controls To Prevent Insider Trading
A hedge fund advisory firm agreed to pay more than $4.6 million to settle charges that it failed to implement adequate controls for preventing insider trading.
United States
30 Aug 2017
13
Financial CHOICE Act Would Complicate The Choices In Bringing And Defending Against SEC Cases
Legislation passed by the U.S. House of Representatives threatens to shake up the Securities and Exchange Commission's enforcement program in a historic manner.
United States
21 Jun 2017
14
The SEC Retains Its House Advantage During Administrative Proceedings
Facing pressure from industry practitioners and in the wake of constitutional challenges in multiple jurisdictions, the SEC recently amended its Rules of Practice that apply to proceedings before an ALJ.
United States
11 Aug 2016
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