This article is the first in a series of four primers on the key legal regimes incentivizing and protecting whistleblowers who report fraud: the False Claims Act (FCA) and the Securities Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), and Internal Revenue Service (IRS) whistleblower programs.
Interested in Securities and White Collar law? Read the newest article from the 10-Q, How 3 Simple Acts May Change the Securities and White-Collar Landscape.
On October 16, 2018, the SEC released a “Report of Investigation” calling for public companies to reassess their […]
Learn about recent developments in SEC Executive Perquisite Disclosures in the newest #Temple10Q post.
Introduction Earlier this year, SEC Chairman Jay Clayton fired a warning shot across the bow of practicing securities […]
Fox Rothschild attorneys discuss the SEC’s 2018 examination priorities for the Office of Compliance Inspections.
Drinker Biddle attorneys Diana McCarthy (LAW ’93) and Kellilyn Greco discuss the SEC’s decision to delay changes to the data reporting rules.
Melissa Pang (LAW ’13) covers the SEC’s Government-Business Forum on Small Business Capital Formation.
Samuel M. Ward and Michael A. Toomey (LAW ’10) discuss the impact of mandatory arbitration in company charters on investors
Broker-dealers take heed: Benjamin McCoy (LAW ’12) and colleagues provide an overview of the touchstone recordkeeping requirements