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Coronavirus: Preparation & Response
Coronavirus: Preparation & Response

As COVID-19 continues to claim lives and disrupt the global economy, the U.S. Securities and Exchange Commission (the “SEC”) has begun taking a number of actions to protect investors from COVID-19-related frauds.

Coronavirus: Preparation & Response

The V&E Report

May 6, 2020
The V&E Report
The V&E Report

A recent decision out of the Southern District of New York emphasizes the importance of considering all obligations under the federal securities laws for any transaction that might involve a “security.”

The V&E Report

April 9, 2020
Coronavirus: Preparation & Response
Coronavirus: Preparation & Response

The SEC’s Enforcement Division recently issued a statement emphasizing the “importance of maintaining market integrity and following corporate controls” during the stock market volatility caused by the COVID-19 outbreak.1

Coronavirus: Preparation & Response

The V&E Report

April 8, 2020
The V&E Report
The V&E Report

Weighing the propriety of one of the Securities and Exchange Commission’s (“SEC”) most critical law enforcement tools, last week the U.S. Supreme Court entertained arguments that the SEC should not be able to disgorge profits from defendants and signaled that the SEC should be doing more to compensate victims in securities fraud cases…

The V&E Report

March 12, 2020
The V&E Report
The V&E Report

A recent decision out of the Southern District of New York highlights a potential source of liability for companies and their directors in the #MeToo era…

The V&E Report

February 13, 2020
The V&E Report
The V&E Report

Last week, the U.S. Securities and Exchange Commission (the “SEC”) initiated its third try to pass a rule on “Disclosure of Payments by Resource Extraction Issuers,” 1 which would govern the…

The V&E Report

January 22, 2020
The V&E Report
The V&E Report

The U.S. House of Representatives recently approved a bill that aims to create the first federal statute explicitly banning insider trading.

The V&E Report

December 12, 2019
The V&E Report
The V&E Report

Last week on November 6, 2019, the SEC Enforcement Division released its annual report on the Commission’s enforcement activities for the fiscal year.

The V&E Report

November 13, 2019
The V&E Report
The V&E Report

On November 2, 2019, the United States Supreme Court granted the petition for a writ of certiorari in Liu v. SEC to address whether the Securities and Exchange Commission (the “SEC”) has authority to…

The V&E Report

November 6, 2019
The V&E Report
The V&E Report

The SEC recently entered into a settlement with Marvell Technology Group, Ltd., based on Marvell’s manipulation of revenue reported in the company’s public statements.

The V&E Report

October 17, 2019
The V&E Report
The V&E Report

The recently proposed 8-K Trading Gap Act of 2019 seeks to address a perceived loophole in current insider trading laws, creating additional regulation and potential source of insider trading…

The V&E Report

October 3, 2019
The V&E Report
The V&E Report

Despite never paying any of the compensation at issue and without admitting or denying the allegations, the Nissan Motor Co., Ltd. (“Nissan”) agreed to pay the Securities and Exchange Commission…

The V&E Report

September 25, 2019