Oct. 4 Webcast: Maybe Unicorns Aren’t So Special– Galloping Through Regulatory Terrain Common to Public Companies

Oct. 4 Webcast: Maybe Unicorns Aren’t So Special– Galloping Through Regulatory Terrain Common to Public Companies

By Securities Docket on August 24, 2017, 12:28 pm

Please join Lori Echavarria, Michael Mugmon and Ed Westerman for this free webcast.

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Sept. 19 Webcast: Seeing the Entire Playing Field — Navigating Concurrent Matters in Multiple Jurisdictions

Sept. 19 Webcast: Seeing the Entire Playing Field — Navigating Concurrent Matters in Multiple Jurisdictions

By Securities Docket on August 16, 2017, 10:25 am

Please join Michele E. Rose, Robert P. Howard, Jr., Jim Barratt and Amy Gonce for this free webcast.

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Seeking Nominations for Securities Docket’s ‘Enforcement 40′

Seeking Nominations for Securities Docket’s ‘Enforcement 40′

By Securities Docket on August 9, 2017, 5:16 pm

Securities Docket welcomes your nominations for our updated ‘Enforcement 40′ — the 40 best and brightest securities enforcement defense professionals in the industry.

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Highlights from Securities Enforcement Forum West 2017

Highlights from Securities Enforcement Forum West 2017

By Securities Docket on June 5, 2017, 1:48 pm

Photos and highlights from Securities Enforcement Forum West 2017.

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Guest Post: SEC Enforcement — 2016 in Review and Looking Ahead to 2017

Guest Post: SEC Enforcement — 2016 in Review and Looking Ahead to 2017

By Securities Docket on February 24, 2017, 5:57 pm

The questions facing the SEC are the same ones that it has faced many times before, but which events have now rendered acute.

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Highlights from Securities Enforcement Forum 2016

Highlights from Securities Enforcement Forum 2016

By Securities Docket on October 20, 2016, 9:37 pm

Photos and highlights from Securities Enforcement Forum 2016.

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Highlights from Securities Enforcement Forum West 2016

Highlights from Securities Enforcement Forum West 2016

By Securities Docket on May 30, 2016, 7:38 pm

Photos and highlights from Securities Enforcement Forum West 2016.

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Sept. 26 Webcast: What Every C-Suite Executive Needs to Know Right Now About the Equifax Data Breach

By Securities Docket on September 22, 2017, 9:45 am

The recent Equifax data breach is perhaps the largest in history and has barraged the company and its senior executives with a complex and challenging range of legal, financial and technological issues — issues that every corporation and its outside counsel will inevitably (and unfortunately) encounter. In this timely webcast, John Reed Stark, seasoned data […]

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Telia disgorges $457 million to SEC, agrees to $965 million in total penalties for FCPA offenses – The FCPA Blog – The FCPA Blog

By Securities Docket on September 22, 2017, 9:42 am

The SEC said in an enforcement order Thursday that Sweden’s Telia Company AB will disgorge $457 million to resolve FCPA violations in Uzbekistan. Combined with $548.6 million in criminal penalties against the company reflected Thursday in court filings by the DOJ, less a $40 million offset, Telia will pay $965 million for the settlement. via […]

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SEC system that was breached is decades old, says former SEC attorney — CNBC

By Securities Docket on September 22, 2017, 9:38 am

“Certainly a sophisticated threat actor, be it a nation-state or organized crime or some other person with those sort of inclinations, could very easily find ways into the system.” However, former SEC counsel Bradley Bondi told “Closing Bell” he was very surprised by the intrusion given the tight security in that part of the SEC’s […]

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What is EDGAR and why do we care if it was hacked? | WUWM

By Securities Docket on September 22, 2017, 9:24 am

The acronym of the day is EDGAR, which stands for Electronic Data Gathering Analysis and Retrieval. It’s a platform created and run by the Securities and Exchange Commission. It could also be known, though, as the latest hacking victim in this economy. The SEC made the disclosure late last night that it’d been breached and added […]

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Justice Department Tells Buchanan Bernie Madoff Victims About to be Compensated | Congressman Vern Buchanan

By Securities Docket on September 21, 2017, 7:59 am

Responding to inquiries from Congressman Vern Buchanan, the U.S. Justice Department said it will begin compensating the victims of scam artist Bernie Madoff within the next few months. Buchanan, who complained about the slow compensation from a fund created five years ago, said he received a letter this week from Assistant Attorney General Stephen E. Boyd stating the […]

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Hack Will Lead to Little, if Any, Punishment for Equifax – The New York Times

By Securities Docket on September 21, 2017, 7:57 am

The hacking into Equifax’s trove of consumer and financial data that exposed the sensitive personal information of as many as 143 million Americans leads naturally to the question of the legal consequences the company and its executives might face. The answer, for those who remember the government’s response to the financial crisis, will be as […]

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Preet Bharara, Ousted Federal Prosecutor, Will Join CNN – The New York Times

By Securities Docket on September 21, 2017, 7:56 am

Preet Bharara, the former United States attorney in Manhattan, has been far from silent since being ousted from his job in March. He is writing a book, regularly muses on politics and legal matters to his 438,000 followers on Twitter, and just started a podcast. (First episode: “That Time President Trump Fired Me.”) Now the […]

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Hackers May Have Profited From SEC Corporate Filing System Attack – Bloomberg

By Securities Docket on September 21, 2017, 7:37 am

The vulnerability of governments and businesses to cyberattacks was exposed again Wednesday when a top U.S. financial regulator said hackers had breached its electronic database of market-moving corporate announcements, and may have profited from the information they stole. The hack of an aspect of the U.S. Securities and Exchange Commission’s Edgar filing system occurred in […]

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SEC Chairman Clayton Issues Statement on Cybersecurity

By Securities Docket on September 21, 2017, 7:23 am

… In August 2017, the Commission learned that an incident previously detected in 2016 may have provided the basis for illicit gain through trading.  Specifically, a software vulnerability in the test filing component of the Commission’s EDGAR system, which was patched promptly after discovery, was exploited and resulted in access to nonpublic information. It is […]

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CEO Charged With Using Secret Accounts for Insider Trading in Company Stock

By Securities Docket on September 20, 2017, 12:35 pm

The Securities and Exchange Commission today charged the former CEO of a Silicon Valley-based fiber optics company with insider trading in company stock by using secret brokerage accounts held in the names of his wife and brother. via CEO Charged With Using Secret Accounts for Insider Trading in Company Stock.

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