Jan. 16 Webcast: Navigating the Minefield of Dodd-Frank’s Whistleblower Provisions (2018 Update)

Jan. 16 Webcast: Navigating the Minefield of Dodd-Frank’s Whistleblower Provisions (2018 Update)

By Securities Docket on December 28, 2018, 5:04 pm

Please join F. Joseph Warin, John W.F. Chesley, Sean X. McKessy and Jim Barratt for this free webcast.

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Dec. 3 Webcast: What Should Crypto Funds Expect From The SEC Going Forward?

Dec. 3 Webcast: What Should Crypto Funds Expect From The SEC Going Forward?

By Securities Docket on November 13, 2018, 9:28 pm

Please join Boris Richard, Jeff Bandman, Ivana Rouse and Peter Altman for this free webcast.

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Oct. 17 Webcast: Corporate Board Oversight of Cybersecurity — A Blueprint for Success

Oct. 17 Webcast: Corporate Board Oversight of Cybersecurity — A Blueprint for Success

By Securities Docket on September 26, 2018, 11:40 am

Please join John Reed Stark and David Fontaine for this free webcast.

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June 28 Webcast: The Bribery Act, Chapter 7 — The Americanisation of UK Corporate Crime

June 28 Webcast: The Bribery Act, Chapter 7 — The Americanisation of UK Corporate Crime

By Securities Docket on June 19, 2018, 1:53 pm

Please join Vivian Robinson QC, Barry Vitou, Richard Kovalevsky QC and Julian Glass for this free webcast.

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June 29 Webcast: Financial Statements 101 — Emerging Trends and Accounting Principles for Lawyers

June 29 Webcast: Financial Statements 101 — Emerging Trends and Accounting Principles for Lawyers

By Securities Docket on June 7, 2018, 7:44 am

Please join Jeff Litvak and Jason Tolmaire for this free webcast.

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Highlights from Securities Enforcement Forum 2017

Highlights from Securities Enforcement Forum 2017

By Securities Docket on November 16, 2017, 6:26 pm

Photos and highlights from Securities Enforcement Forum 2017.

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Securities Docket Announces ‘Enforcement 40′ for 2017

Securities Docket Announces ‘Enforcement 40′ for 2017

By Securities Docket on October 30, 2017, 7:46 am

Securities Docket announces its “Enforcement 40”— our list of the 40 best and brightest securities enforcement defense lawyers.

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US government shutdown 2019 makes insider trading a bigger temptation — Quartz

By Securities Docket on January 17, 2019, 11:44 am

John Stark, former chief of the SEC’s Office of Internet Enforcement, which monitors, among other things, online trading and investment activity, called the numbers “shocking” and predicts an increase in insider trading while enforcement staff is on furlough. “There will absolutely be people on Wall Street, and off of Wall Street, who believe they may […]

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STATEMENT REGARDING SEC OPERATIONS DURING A LAPSE IN APPROPRIATIONS

By Securities Docket on January 17, 2019, 11:34 am

The Division of Enforcement continues to monitor for submissions to the Tips, Complaints, and Referrals (TCR) system that appear to allege conduct that may pose a risk of imminent harm to investors or our markets. Staff is available to handle emergency enforcement matters, including temporary restraining orders and/or imminent deadline concerns, or investigations of ongoing […]

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SEC faces lawsuit over ‘gag orders’ in enforcement settlements | Compliance Week

By Securities Docket on January 17, 2019, 10:14 am

The Cato Institute, a libertarian think tank, is suing the Securities and Exchange Commission in federal court to challenge its decades-old policy of imposing “gag orders” on settling defendants in civil enforcement actions. *** “The sole purpose of the gag regulation is to affect public perception of the SEC and the SEC’s enforcement activities,” the Cato […]

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How SEC Enforcers Got Back to Basics | Russell G. Ryan – LinkedIn

By Securities Docket on January 17, 2019, 8:10 am

Since leaving the Securities and Exchange Commission in 2004, I haven’t hesitated to question SEC enforcement policy on the op-ed pages of The Wall Street Journal and elsewhere. So it’s only fair, nearly two years into the tenure of current SEC leadership, to give credit where it’s due. As it happens, plenty of credit is due […]

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Overseas Traders Face Charges for Hacking SEC’s Public Filings Site – WSJ

By Securities Docket on January 15, 2019, 6:43 pm

Mr. Clayton added that the SEC has worked to enhance its cybersecurity defenses in the wake of the hack, turning to other government agencies and outside consultants to “bolster our cybersecurity defenses and reduce our cyber risk profile.” The fallout from the hack has changed the SEC’s approach to cybersecurity both for the SEC itself […]

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Russian, Ukrainian defendants among those charged with hacking SEC system in trading scheme – The Washington Post

By Securities Docket on January 15, 2019, 6:43 pm

There has long been disagreement within the SEC and by legal scholars about whether the agency has the authority to pursue these types of charges, said John Reed Stark, who worked for the SEC’s enforcement division for nearly 20 years and founded its former Office of Internet Enforcement. The defendants could argue that they are […]

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Statement on EDGAR Hacking Enforcement Action

By Securities Docket on January 15, 2019, 1:02 pm

This action illustrates that the SEC faces many of the same cybersecurity threats that confront exchange-listed companies, other SEC-registered entities and market participants of all types.  These threats to our marketplace are significant and ongoing and often involve threats from actors outside our borders.  No system can be entirely safe from a cyber intrusion.  Here at the SEC, […]

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U.S. charges hacker, traders for infiltrating SEC database

By Securities Docket on January 15, 2019, 11:48 am

Authorities said Oleksandr Ieremenko, 27, of Kiev, and others working with him obtained thousands of “test filings,” including roughly 157 earnings announcements, by hacking into Edgar through a Lithuanian server, and then sharing them with a network of traders. According to the SEC, these traders, comprising eight individuals and companies in the United States, Russia […]

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The Person At the PCAOB Who Auditors Feared the Most Is Now Their Friend – Going Concern

By Securities Docket on January 15, 2019, 10:15 am

Modesti, who was the PCAOB’s first director of enforcement and investigations, has landed at Akin Gump as a partner in the firm’s white-collar defense and government investigations practice in Washington, DC. This is a big-time hire for Akin Gump. Not only did Modesti have a distinguished career at the PCAOB, where he brought the hammer […]

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Teresa M. Goody Joins BakerHostetler in Washington, D.C.

By Securities Docket on January 14, 2019, 6:01 pm

BakerHostetler announced today the addition of Teresa M. Goody to its Washington, D.C. office, where she will continue her broad-based securities and corporate law practice that includes defending SEC investigations and assisting clients with securities litigation, as well as serving as general securities and corporate counsel. She joins from the firm The Goody Group PLLC, […]

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