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The STOCK Act presents pitfalls for the private sector

5/17/2012

Joshua Horn of Fox Rothschild discusses recently enacted legislation that prohibits members of Congress from trading on inside information and the potential effects it could have on the private sector.

Congress finally addresses insider trading. . . For itself

JPMorgan AGM punctured by thorny hedge issues

5/17/2012

JPMorgan’s disastrous $2 billion hedge loss has raised some thorny issues on management oversight, corporate governance and the effectiveness of the Volcker Rule, as division at the banking giant’s annual general meeting highlight a growing tension between its shareholders and management.

Supreme Court finds Section 16(b) claims not tolled pending Section 16(a) disclosure filing; hints that statutes of repose can’t be tolled

5/11/2012

Britt K. Latham and M. Jason Hale of Bass, Berry & Sims PLC discuss Credit Suisse Sec. v. Simmonds, in which the Supreme Court held that the two-year period to sue a corporate insider under section 16(b) of the Securities Exchange Act of 1934 is not tolled pending the filing of a section 16(a) disclosure statement.

As Volcker Rule implementation lumbers on, some practical considerations

5/4/2012

Attorney Edward G. Eisert of Orrick, Herrington & Sutcliffe discusses the implementation of the “Volcker Rule” and the issues financial institutions are likely to encounter in an uncertain regulatory environment.

6th Circuit addresses statute of limitations applicable to claims under Section 10(b) of the 1934 Act

5/2/2012

Joseph B. Crace and M. Jason Hale of Bass, Berry & Sims PLC discuss a recent 6th Circuit decision holding that the limitations period for Section 10(b) claims begins to run only when a reasonably diligent plaintiff would have discovered facts establishing a violation.

The Dodd-Frank Act: Size matters

4/30/2012

John Soffronoff, president of the compliance practice at ICS Risk Advisors, discusses recent developments in the implementation of the Dodd-Frank Act and how the law will affect financial institutions differently based on size.

Can you spell ipsi dixit?

3/16/2012

Robert Fusfeld of the University of Denver Institute for Public Policy Studies discusses two recent SEC administrative opinions in which the commission failed to articulate the reasoning or facts that supported its conclusions.

Court’s rejection of Citigroup settlement raises questions for both SEC and defendants

12/14/2011

Britt Latham and Joseph Crace of Bass, Berry & Sims say the recent judicial rejection of the SEC’s proposed settlement with Citigroup in a subprime-related fraud case may increase the cost of the agency’s enforcement program.

We can do better than this, can't we Mr. Khuzami?

12/6/2011

Robert Fusfeld of the University of Denver Institute for Public Policy Studies says the SEC needs to reevaluate its enforcement practices after a recent judicial rejection of the agency’s proposed settlement with Citigroup in a subprime-related fraud case.

Implications of the SEC’s landmark §304 ‘no fault’ clawback settlement

12/2/2011

Robin M. Bergen and Shawn J. Chen of Cleary Gottlieb Steen & Hamilton discuss the Securities and Exchange Commission’s recent settlement of a “no-fault” clawback case under the Sarbanes-Oxley Act.

SEC seeks tougher enforcement options as it stumbles on settlements

12/2/2011

Joshua Horn of Fox Rothschild discusses the Securities and Exchange Commission’s recent plea to Congress for more enforcement powers in light of judicial criticism of the agency’s high-profile fraud settlements.

It's cognitive dissonance time at the SEC

11/28/2011

Robert Fusfeld of the University of Denver Institute for Public Policy Studies says the SEC’s law enforcement program needs reform because it does not deter repeat violators and allows them to absorb financial penalties as a mere cost of doing business.

Exchange sanctions lifted for failure to prove service

11/16/2011

Robert Fusfeld of the University of Denver Institute for Public Policy Studies reviews a Securities and Exchange Commission decision to lift a 2004 permanent bar on a securities broker because the evidentiary record of an exchange investigation lacked proof of service.

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