News & Analysis as of

Investors Enforcement Civil Monetary Penalty

Jenner & Block

2024 CFIUS Developments: Implications for Japanese Investors in the United States

Jenner & Block on

In April, the Committee on Foreign Investment in the United States (CFIUS) issued a Notice of Proposed Rulemaking (NPRM) to “enhance certain CFIUS procedures and sharpen its penalty and enforcement authorities.” If CFIUS...more

Seward & Kissel LLP

SEC Announces Robust Fiscal Year 2023 Enforcement Results

Seward & Kissel LLP on

Who may be interested: Registered Investment Companies; Directors of Registered Investment Companies; and Investment Advisers - Quick Take: The SEC’s Division of Enforcement (Enforcement) released a report summarizing its...more

White & Case LLP

The SEC’s Charges Against SolarWinds and its Chief Information Security Officer Provide Important Cybersecurity Lessons for Public...

White & Case LLP on

On October 30, 2023, the US Securities and Exchange Commission ("SEC") announced that it filed charges against SolarWinds Corp. ("SolarWinds" or the "Company") and its Chief Information Security Officer ("CISO") in connection...more

Akin Gump Strauss Hauer & Feld LLP

SEC Announces Charges for Schedule 13D, Schedule 13G and Section 16 Reporting Violations

On September 27, 2023, the Securities and Exchange Commission (SEC) issued a press release announcing charges against officers, directors and large investors in public companies for failure to timely make Section 16, Schedule...more

ArentFox Schiff

SEC Steps Up Enforcement With Respect to Municipal Bond Offerings

ArentFox Schiff on

In September 2022, the US Securities and Exchange Commission (SEC) announced that it had filed suit against one broker-dealer underwriter and entered into settlements with three other broker-dealer underwriters in cases...more

5 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide