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Securities Law and Regulations
Enforcement Cases in 2011
April 12, 2012
Morgan Lewis has issued a summary of 2011 SEC enforcement cases and developments pertaining to funds and advisers. The summary noted that there was increase in cases against investment companies and investment advisers in 2011, resulting in a total of 146 actions representing a 30%… read more
Commissioner Walter on International Cooperation
April 06, 2012
In recent testimony before the Senate Committee on Banking, Housing, and Urban Affairs, SEC Commissioner Elisse Walter highlighted the importance of international cooperation in financial regulation. Commissioner Walter highlighted the primary ways the SEC works with its international counterparts, particularly with respect to the implementation… read more
From Enron to Lehman Brothers: Lessons for Boards
March 30, 2012
In an article written for The Conference Board entitled From Enron to Lehman Brothers: Lessons for Boards From Recent Corporate Governance Failures, author Frederick Lipman, who is a partner at the Blank Rome LLP law firm, discusses common pitfalls in many current whistleblower programs, and… read more
SEC Settlement Language
March 28, 2012
In a decision issued on March 15, the Second Circuit Court of Appeals issued a stay postponing a trial ordered by Judge Rakoff following his rejection of a settlement in a case brought by the Securities and Exchange Commission against Citigroup Global Markets Inc. Judge… read more
Report: Insider Trading Annual Review
March 22, 2012
Morrison & Foerster has issued a 2011 Insider Trading Annual Review. In 2011, the government continued to make insider trading a top enforcement priority and has given every indication that it will continue to do so in the future. According to the report, the… read more