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Corporate Counsel Rule 21F-17 Securities Exchange Act

BCLP

Employment Agreements in The SEC’s Cross-Hairs: What Employers Should Do Now

BCLP on

Over the past several months, the U.S. Securities and Exchange Commission (“SEC”) has concluded several aggressive enforcement actions related to supposed violations of Rule 21F-17 under the Securities Exchange Act of 1934,...more

A&O Shearman

Recent SEC enforcement relating to workplace misconduct

A&O Shearman on

Only a few months into the new year and the U.S. Securities and Exchange Commission (SEC) has begun to wade into new waters with enforcement efforts focused on disclosure issues without traditional links to securities...more

Stinson - Corporate & Securities Law Blog

SEC Fires Another Warning Shot on Confidentiality Agreements that Violate Whistleblower Provisions

The SEC brought an enforcement action against The Brink’s Company for using confidentiality agreements that the SEC alleged violated Exchange Act Rule 21F-17. That rule prohibits any person from taking any action to impede an...more

Kramer Levin Naftalis & Frankel LLP

SEC Whistleblower Protection Rule Not Restricted to Employee Whistleblowers

On July 21, in S.E.C. v. Collector’s Coffee, Inc. et al.,[1] a New York federal court held that a Securities and Exchange Commission (SEC or Commission) whistleblower protection rule prohibiting actions to impede the...more

Kramer Levin Naftalis & Frankel LLP

SEC Accuses Issuer and CEO of Violating Whistleblower Protection Laws to Silence Investor Complaints

On Nov. 4, 2019, the Securities and Exchange Commission (SEC) filed an amended complaint against Collectors Café and its CEO, Mykalai Kontilai, to add charges against defendants for alleged violations of whistleblower...more

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