Tag: cooperation

The impact of cooperation on a Commission investigation can be difficult to assess. The agency has long espoused cooperation as a way to mitigate the ultimate resolution of an investigation and any possible sanctions. The agency typically acknowledges the impact …

Cooperation and Its Impact

Read More »

Tagged with: ,

The list of regulatory matters on the agenda for the Commission continues to grow each week. The list is long and references a number of important topics which range from 10b-5-1 plans to buy-backs and cybersecurity. This seems to flow …

This Week In Securities Litigation (Week of February 7, 2022) Read More »

Tagged with: , , ,