Earlier this week at a talk before the Council of Institutional Investors, U.S. Securities and Exchange (“SEC”) Commissioner, Caroline Crenshaw, argued that the enforcement must play a “central role” with regulators and...more
The New Year is still young, but major changes are already afoot in securities enforcement as Congress amended the Securities Exchange Act of 1934 (“Exchange Act”) on January 1, 2021. It was easy to miss these changes to the...more
2/4/2021
/ Amended Regulation ,
Disgorgement ,
Enforcement Actions ,
Government Investigations ,
Kokesh v SEC ,
Liu v Securities and Exchange Commission ,
NDAA ,
Penalties ,
Securities Exchange Act of 1934 ,
Securities Regulation ,
Securities Violations
The SEC has just announced settled charges against The Cheesecake Factory Incorporated for making misleading disclosures about the impact of the COVID-19 pandemic on its business operations and financial condition. The SEC...more
12/8/2020
/ Coronavirus/COVID-19 ,
Disclosure Requirements ,
Enforcement Actions ,
Form 8-K ,
Infectious Diseases ,
Misleading Statements ,
Publicly-Traded Companies ,
Restaurant Industry ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Violations ,
Settlement Agreements