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Articles by Ken Herzinger
Orrick Hosts Fireside Chat with SEC Commissioner Hester Peirce | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
The SEC’s Authority To Enforce The Bank Secrecy Act Is Challenged | JD Supra
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The SEC's Authority to Enforce the BSA Is Challenged | JD Supra
JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations. This Privacy Policy describes how JD Supra, LLC ("JD Supra" or "we," "us," or "our") collects, uses and shares personal data collected from visitors to our website (located at www.jdsupra.com) (our "Website") who view only publicly-available content as well as subscribers to our services (such as our email digests or author tools)(our "Services").
Highlights From SEC Speaks 2018 - Retail, Cybersecurity And Cryptocurrency | JD Supra
The Commissioners and senior officials of the Securities and Exchange Commission ("SEC" or "Commission") addressed the public on February 23-24 at the annual "SEC Speaks" conference in Washington, D.C. Throughout the conference, many speakers referred to the new energy that SEC Chairman Jay Clayton had brought to the Commission since his confirmation in May 2017.
Looking Out For Main Street: SEC Focuses On Retail, Cybersecurity And Cryptocurrency | JD Supra
The Commissioners and senior officials of the Securities and Exchange Commission (“SEC” or “Commission”) addressed the public on February 23-24 at the annual “SEC Speaks” conference in Washington, D.C. Throughout the conference, many speakers referred to the new energy that SEC Chairman Jay Clayton had brought to the Commission since his confirmation in May 2017.
SEC's OCIE Announces 2018 Areas Of Focus
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SEC’s OCIE Announces 2018 Areas of Focus
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The SEC Urges Supreme Court Review Of The Constitutionality Of Its Administrative Law Judges
On November 29, 2017, the Solicitor General filed a brief on behalf of the Securities and Exchange Commission (the "Commission") in Raymond J. Lucia et al. v. Securities and Exchange Commission, No. 17-130, asking the Supreme Court to resolve a Circuit split over whether the Commission's selection and use of administrative law judges ("ALJs") is constitutional. In doing so, the Solicitor General agreed with petitioners Raymond J. Lucia and Raymond J.
Supreme Court Likely To Decide Whether To Hear SEC ALJ Issue This Term
As the U.S. Supreme Court commenced a new term last week, one issue of substantial interest to many readers of this blog is whether the Court will address the constitutionality of the Securities & Exchange Commission’s use of administrative law judges (“ALJs”) to adjudicate enforcement proceedings.
Second Circuit Ruling Creates Challenge for Securities Class Action Plaintiffs
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Chairman Clayton Sets New SEC Agenda
On Wednesday July 12, 2017, in his first public speech as Chairman of the SEC , SEC Chairman Jay Clayton laid out a set of eight priorities that will guide his SEC Chairmanship.[1] He said his priorities are consistent with and complimentary to the seven “core principles” set forth in President Donald Trump’s February 3, 2017 executive order regarding the regulation of the U.S. financial system.
Government Leaks Lead To Landmark Insider Trading Case - Criminal Law - United States
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SEC Cybersecurity Enforcement at Watershed Moment: How Companies Should Prepare
The watershed moment that all companies feared when the Securities and Exchange Commission published its first guidance on cybersecurity disclosure under the federal securities laws in 2011 has arrived.
Government Leaks Lead to Landmark Insider Trading Case
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Congress May Significantly Increase SEC Civil Penalties Up To $10 Million Per Violation
On March 30, 2017, a bipartisan group of Senators introduced a bill called “Stronger Enforcement of Civil Penalties Act of 2017” (the “SEC Penalties Act”) to “crack down on Wall Street fraud” that would significantly increase civil monetary penalties in SEC enforcement actions up to $1 million per violation for individuals and $10 million per violation for entities, or three times the money gained in the violation or lost by the victims.
Will You Blow The Whistle Or Should I? The SEC Grants An Award to a Whistleblower Who Learns of Fraud From Another Employee
Last week, the Securities and Exchange Commission announced an award payout of between $475,000 and $575,000 to a former company officer who reported information about an alleged securities fraud.
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