Kevin Comeau

Jones Day

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Latest Posts › Securities Exchange Act

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SEC Enforcement in Financial Reporting and Disclosure: Summer 2023 Update

We are pleased to present our latest update on financial reporting and issuer disclosure enforcement activity. This White Paper primarily focuses on the U.S. Securities and Exchange Commission’s (“SEC”) enforcement activity...more

9/1/2023 / Disclosure Requirements , Financial Reporting , Non-GAAP Financial Measures , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Regulation

Insider Trading Enforcement in 2022

Each year, the Department of Justice ("DOJ"), the Securities and Exchange Commission ("SEC"), and in recent years, the Commodity Futures Trading Commission ("CFTC") dedicate substantial resources to investigating and...more

5/4/2023 / 10b5-1 Plans , Enforcement Actions , Insider Trading , Material Nonpublic Information , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Fraud , Securities Litigation , Securities Violations

SEC Seeks Additional Comment on Whether DeFi Systems Must Register as "Exchanges"

In Short - The Situation: The U.S. Securities and Exchange Commission ("SEC" or "Commission") has reopened the comment period for its January 2022 proposal to amend Exchange Act Rule 3b-16 to broadly expand the...more

5/4/2023 / Blockchain , Decentralized Finance (DeFi) , Distributed Ledger Technology (DLT) , Proposed Amendments , Proposed Rules , Securities and Exchange Commission (SEC) , Securities Exchange Act

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