Articles
Administrative law
Lucia The End of SEC ALJ’s
The Supreme Court Considers The Fate of SEC ALJs
Aiding and Abetting
The Line between Primary and Secondary Liability in Private Securities Fraud Cases
Securities litigation & Enforcement institute 2007
Stoneridge Slides
Causation
Central Bank Decision
Class and Derivative Suits
Supreme Court Rejects American Pipe Tolling For Class Actions
Halliburton II
Halliburton I
SLUSA
Securities Class Actions: Current & Emerging Issues, 2008
Tellabs and Pleading Scienter
The Rise of Scheme Liability
Compliance
Deputy AG On Compliance And Lawyer’s Fiduciary Duties
Theranos: Vision, Effort – No Compliance Ends with DOJ, SEC
Cooperation Standards
New Standards: Substituting Avoidance for Waiver
The New DOJ Cooperation Standards
Shakespeare And DOJs New Guidelines On Corporate Cooperation
New DOJ Principles
The McNulty Memo – Update
Cooperation Standards
Anti-Corruption Digest
Digest, January 2019
Digest, December 2018
Digest. November 2018
Digest, October 2018
Digest, September 2018
Digest, August 2018
Digest, July 2018
Digest, June 2018
Digest, May 2018
Digest, April 2018
Digest, March 2018
Digest, February 2018
Digest, January 2018
Digest, December 2017
Digest, October 2017
Digest, September 2017
Digest, August 2017
Digest, July 2017
Digest, June 2017
Digest, December 2018
Digest. November 2018
Digest, October 2018
Digest, September 2018
Digest, August 2018
Digest, July 2018
Digest, June 2018
Digest, May 2018
Digest, April 2018
Digest, March 2018
Digest, February 2018
Digest, January 2018
Digest, December 2017
Digest, October 2017
Digest, September 2017
Digest, August 2017
Digest, July 2017
Digest, June 2017
Criminal securities cases
CTFC
Two Significant Losses for the CFTC
Court Delimits CFTC’s Enforcement Reach
Cyber Security
SEC Report on Internal Controls
SEC Enforment Statistics
Directors & Officers Liability
Trends in Class and Derivative Suits
SEC Trends Impacting
Disclosures
Financial statement fraud
Securities Regulation & Law Report
FCPA
The Origins of the FCPA
DOJ/SEC Guide
FCPA Trends: Towards Compliance
New Era of FCPA Enforcement
Insider Trading
Marketing final salman (Dec. 2016)
Presentation re Future of Insider Trading Supreme Court and Salman – ZED Edits (Dec. 2016)
The Continuing Impact of Newman
The Newman Decision
Is the DOJ and SEC War on Insider Trading Rewriting the Rules?
The “Plus Factor” Rule
Internal Investigations
Current & Emerging Issues Re Internal Investigations
Investment Advisers
SEC Enforcement Q&A On Its Cooperation Initiative for Investment Advisers
Market Crisis
Implications of the Crisis: Pt. I, DOJ; Pt. II, SEC.
Parallel Proceedings
Issues re Parallel Investigations
Rule 10b-5-1 Plans
Safe Harbor Rule 10b5-1 Trading Plans For Executives May Not Be “Safe” Anymore
Sarbanes Oxley Act
Is there a new sherif in corporateville?
Scienter
Ninth Circuit Rejects Decisions of Five Others: Exchange Act Section14(e) Does Not Require Scienter
Rise of Scheme Liability
SECActions Trend Analysis
Supreme Court Term 2009
Insider Trading
SEC Investigations
Deadlines and SEC Enforcement
Trends in SEC Enforcement, 2008
The New SEC Enforcement Manual
The SEC, Self-Reporting and Cooperation
Representing a Client in an SEC Investigation: The Basics
SEC Enforcement Highlights of 2006 and Trends for 2007
Evolving Issues in Parallel SEC and DOJ Securities Investigations
SEC Enforcement
SEC Injunctions
SEC Enforcement Venue
SEC Enforcement by the Numbers
New Enforcement Doctrine
SEC Enforcement Trends 2011
Bank of America
SEC Enforcement Trends, 2009
SEC v. Bank of America
Secondary Liability
Stoneridge Decision
Supreme Court Arguments in Stoneridge
The Line between Primary and Secondary Liability in Private Securities Fraud Cases
Supreme Court & secondary liability
Who does the Catch-all antifraud provision catch?
Stock Option Backdating
Stock Option Backdating Seminar
Supreme Court Decisons
The Supreme Court and Securities Litigation: Emulex
Tellabs Decision
A New Split Emerging On Pleading A Strong Inference of Scienter After Tellabs?
Decision by S. Ct.
Tellabs and Pleading Scienter
Tellabs Slides
Virtual currencies
Virtual Currencies, the Regulators and the Future
Multiple Regulators