Eric Orsic

Eric Orsic

McDermott Will & Emery

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SEC Fines Director for Failing to Disclose Close Friendship With Senior Executive

In a novel enforcement action, the US Securities and Exchange Commission (SEC) charged a member of the board of directors of a New-York-Stock-Exchange (NYSE)-listed manufacturer of personal and household products for...more

10/18/2024  /  Board of Directors , Disclosure , Enforcement Actions , Mandatory Disclosure Rules , NYSE , Publicly-Traded Companies , Securities and Exchange Commission (SEC) , Securities Regulation , Securities Violations

SEC Fines Director for Failing to Disclose Close Friendship With Senior Executive

In a novel enforcement action, the US Securities and Exchange Commission (SEC) charged a member of the board of directors of a New-York-Stock-Exchange (NYSE)-listed manufacturer of personal and household products for...more

10/18/2024  /  Board of Directors , Disclosure , Enforcement Actions , Mandatory Disclosure Rules , NYSE , Publicly-Traded Companies , Securities and Exchange Commission (SEC) , Securities Regulation , Securities Violations

Requirement for Enhanced Share Repurchase Disclosures in Periodic Reports Delayed

On November 22, 2023, the US Securities and Exchange Commission (SEC) issued an order postponing the effective date for the new share Repurchase Rule (88 Fed. Reg. 36002 (June 1, 2023)) pending further SEC action. The SEC’s...more

12/12/2023  /  Corporate Governance , Form 10-K , Proposed Rules , Publicly-Traded Companies , Repurchases , Securities and Exchange Commission (SEC) , Securities Litigation , Securities Regulation , Stock Repurchases

Deadlines for the Adoption of Clawback Policies Extended

On June 9, 2023, the US Securities and Exchange Commission (SEC) approved amendments to clawback policy listing standards proposed by the New York Stock Exchange (NYSE) and the Nasdaq Stock Market LLC (Nasdaq) that extend the...more

6/14/2023  /  Clawbacks , Listing Standards , Nasdaq , NYSE , Regulatory Reform , Securities and Exchange Commission (SEC) , Securities Regulation

Half a Loaf Is Not Enough: Second Circuit Sustains Fraud Claim for Failure to Disclose SEC Investigation

Companies under US Securities and Exchange Commission (SEC) investigation focus on marshaling the facts, defenses and related strategies during the course of the investigation and making presentations to the enforcement...more

6/9/2022  /  Appeals , Business Litigation , Disclosure Requirements , Enforcement Actions , Fraud , Investigations , Publicly-Traded Companies , Securities and Exchange Commission (SEC) , Securities Litigation , Securities Regulation

SEC Amends Exempt Offering Framework

On November 2, 2020, the Securities and Exchange Commission (SEC) voted to amend the framework for exempt offerings under the Securities Act of 1933, as amended (Securities Act). The amendments generally establish a new...more

11/20/2020  /  Crowdfunding , Harmonization Rules , Offerings , Regulation A , Regulation D , Rule 504 , Safe Harbors , Securities and Exchange Commission (SEC) , Securities Regulation , Testing-the-Waters Communications
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