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On January 10, 2024, the United States Attorney’s Office for the Southern District of New York (“SDNY”) introduced the SDNY Whistleblower Pilot Program (“Pilot Program”), aimed at encouraging individuals to disclose information about specific criminal offenses, particularly urging them to do so early and voluntarily. In return for their cooperation, SDNY will enter into a non-prosecution agreement (“NPA”) if certain conditions are met.

February 9, 2024
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Insight

On November 14, the Securities and Exchange Commission (“SEC”) published its 2023 annual enforcement report which revealed a continuation of 2022’s record-setting enforcement activity.

November 17, 2023
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Insight

Evaluating a broad spectrum of challenges raised by the U.S. Chamber of Commerce and others, a unanimous panel of the U.S. Court of Appeals for the Fifth Circuit recently held that the SEC failed to provide a sufficient rationale to justify its Share Repurchase Disclosure Modernization Rule (the “Final Rules”), rendering the Final Rules arbitrary and capricious.

November 16, 2023
Event Recap
Event Recap
Shareholder Litigation & Enforcement Partner Rebecca Fike joined Practising Law Institute's inSecurities Podcast to talk about insider trading, the SEC’s use of artificial intelligence and more.
November 16, 2023
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Insight

It is one of the hardest questions a company can face: after discovering criminal conduct inside your company, do you self-report to the government or not?

October 12, 2023
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Insight

On September 14, 2023, Senator Josh Hawley of Missouri introduced the Strengthening Antitrust Enforcement for Meatpacking Act of 2023, an ambitious new piece of legislation designed to halt consolidation in the meatpacking industry.

September 20, 2023
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Insight

Cryptocurrency had a rocky 2022. Bitcoin, often touted as a hedge against inflation, lost nearly 65 percent of its value. FTX, one of the most popular and well-known platforms for trading crypto, declared bankruptcy.

June 6, 2023
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Insight

The Securities and Exchange Commission (“SEC”) will soon have the tools necessary to enforce its longstanding rules regarding share repurchases.

May 18, 2023
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Insight

Recent technological advances, including cryptocurrency and artificial intelligence (“AI”), have made their stamp on the Securities and Exchange Commission (“SEC”) and its goals.

April 24, 2023
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Insight

On March 15, 2023, the Securities Exchange Commission (“SEC”) issued three additional proposed rules that would expand the reach of the agency’s current cybersecurity guidance to new entities and augment existing cybersecurity compliance obligations.

April 11, 2023
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Insight

Over the last several weeks, federal regulators and prosecutors have sent a strong signal to company executives that they will be using every tool in their arsenal to combat insider trading.

V&E SEC Update

March 22, 2023
Insight
Insight

On February 22, 2023, the Securities and Exchange Commission (“SEC”) issued a cease-and-desist order (the “Order”) charging African Gold Acquisition Corp. (“African Gold”) with multiple violations of the Securities Exchange Act of 1934 (the “Exchange Act”) related to African Gold’s failure to maintain a sufficient system of internal controls.1

March 9, 2023