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Navigating the SEC's 2024 Examination Priorities
White Collar

Navigating the SEC's 2024 Examination Priorities

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Securities Litigation for the Week of October 16, 2023
White Collar

Securities Litigation for the Week of October 16, 2023

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Defending Accountants and Auditors in SEC Rule 102(e) Actions: In-Depth Guide for Counsel
White Collar

Defending Accountants and Auditors in SEC Rule 102(e) Actions: In-Depth Guide for Counsel

Allegations of engaging in improper professional conduct or violating professional standards may prompt the Securities and Exchange Commission (SEC) to institute disciplinary proceedings against ac...

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SEC Enforcement Spotlight on Inadequate Executive Perquisites Disclosures: Risk Mitigation Strategies for Public Companies
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SEC Enforcement Spotlight on Inadequate Executive Perquisites Disclosures: Risk Mitigation Strategies for Public Companies

The Securities and Exchange Commission (SEC) closely scrutinizes the nature and extent of executive officer perquisites and personal benefits disclosed by public companies in annual proxy materials...

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Unregistered Finders in Microcap Private Placements
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Unregistered Finders in Microcap Private Placements

Hiring unregistered finders to solicit investors or facilitate private placement transactions carries major legal risks for microcap companies needing to raise capital. Avoiding violations requires...

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Avoiding Trouble: Proper Disclosure of Beneficial Owners and Executive Officers at Microcaps
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Avoiding Trouble: Proper Disclosure of Beneficial Owners and Executive Officers at Microcaps

Failing to properly disclose accumulating beneficial ownership exceeding 5% and concealing the identity of true executive officers guiding corporate strategy poses substantial regulatory risks for ...

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SEC Subpoenas in Microcap Investigations: Promptly Engaging Experienced Counsel is Critical
White Collar

SEC Subpoenas in Microcap Investigations: Promptly Engaging Experienced Counsel is Critical

Receiving a subpoena from the Securities and Exchange Commission can be an unnerving and jarring event for microcap companies and their executives. However, it is important to keep in mind that whi...

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SEC Whistleblower Scrutiny Expands to Employment Agreements: Is Your Company at Risk?
White Collar

SEC Whistleblower Scrutiny Expands to Employment Agreements: Is Your Company at Risk?

The Securities and Exchange Commission (SEC) is taking a renewed interest in employment and separation agreements that could discourage whistleblowing. In September 2023, the SEC announced enforcem...

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Misleading Press Releases and Market Hype: Verifying Claims and Avoiding Microcap Fraud
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Misleading Press Releases and Market Hype: Verifying Claims and Avoiding Microcap Fraud

The dissemination of false, misleading or improperly exaggerated press releases remains a pervasive problem in the microcap stock markets. Savvy investors must watch for "red flags" revealing unrel...

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This Week In Securities Litigation
White Collar

This Week In Securities Litigation

Two weeks ago, the Securities and Exchange Commission (SEC) initiated an eye-popping 50-plus new enforcement actions. In stark contrast, last week saw only three such actions. Although the quantity...

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Recent Articles

ANALYZING LEGAL IMPLICATIONS OF DIGITAL TRANSFORMATION IN PUBLIC FINANCE
Public Finance
ANALYZING LEGAL IMPLICATIONS OF DIGITAL TRANSFORMATION IN PUBLIC FINANCE
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KEY FACTORS IN STRUCTURING SPECIAL ASSESSMENT DISTRICTS FOR PUBLIC INFRASTRUCTURE FINANCING
Public Finance
KEY FACTORS IN STRUCTURING SPECIAL ASSESSMENT DISTRICTS FOR PUBLIC INFRASTRUCTURE FINANCING
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THE ROLE OF PUBLIC FINANCE IN ECONOMIC DEVELOPMENT AND JOB CREATION
Public Finance
THE ROLE OF PUBLIC FINANCE IN ECONOMIC DEVELOPMENT AND JOB CREATION
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