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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Silicon Valley’s Unbridled Optimism Gets Fresh Reality Check – WSJ

By Securities Docket on January 22, 2019, 12:17 pm

Yet a worrying sign is the shrinking of so-called seed deals, essentially the earliest investments in startups. The number of these deals has fallen steadily, dropping to 882 in the fourth quarter from more than 1,500 three years earlier, PitchBook says. Venture capitalists typically follow the trajectory of tech stocks, as they did in early […]

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Why The SEC Shutdown Must End (Now) | LinkedIn

By Securities Docket on January 22, 2019, 11:36 am

The SEC’s mission, formulated some 85 or so years ago, is to protect investors; to maintain fair, orderly, and efficient markets; and to facilitate capital formation. Along these lines, the SEC oversees a mammoth portfolio of regulatory responsibilities. This article presents a rundown of just a few of these many critical SEC functions, illuminating the […]

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UK Bribery Act: 2018 in review, and a few predictions – The FCPA Blog

By Securities Docket on January 22, 2019, 10:37 am

This update is aimed primarily at non-English lawyers who work on international matters and looks back at 2018, explaining key UK enforcement trends and the most notable legal changes. The post also looks forward into 2019, summarizing the likely impact of Brexit and recent changes to prosecutorial priorities. via UK Bribery Act: 2018 in review, […]

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Trump’s failure to name Democrats to agencies stalls enforcement – POLITICO

By Securities Docket on January 21, 2019, 2:38 pm

President Donald Trump has failed to advance Democratic nominees to three key financial regulatory agencies for months, breaking yet another Washington tradition and sparing Wall Street companies from enforcement penalties. Slots at the SEC, the FDIC and the National Credit Union Administration have gone unfilled because the White House has not nominated Democrats to take […]

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Waters, McHenry Introduce Bill to Curb Insider Trading | ThinkAdvisor

By Securities Docket on January 21, 2019, 1:24 pm

House Financial Services Committee Chairwoman Maxine Waters, D-Calif., and ranking member Rep. Patrick McHenry, R-N.C., introduced bipartisan legislation Friday to curb insider trading. The Promoting Transparent Standards for Corporate Insiders Act, H.R. 624, requires the Securities and Exchange Commission to amend Rule 10b5-1 to ensure corporate insiders are unable to indirectly engage in illegal insider […]

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Shut Up, the SEC Explained – WSJ

By Securities Docket on January 18, 2019, 8:30 am

By all means, let the Festivus begin. The First Amendment says that even convicted murderers are free to complain that the justice system treated them unfairly. New evidence sometimes proves them right. So why should a person accused of, say, insider trading lose the ability to defend his name? Since most SEC cases are settled—in […]

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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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