Tags » sec

Posts
By Mauro M. Wolfe and Jovalin Dedaj In yet another setback for the SEC, the Supreme Court unanimously decided that disgorgement actions, a cornerstone of SEC enforcement, are subject to a five-year statute of limitations. Previously, in Gabelli v. (More)
  On April 7, 2017, the SEC Division of Corporate Finance issued updated guidance regarding the SEC’s conflict minerals rules, stating that, in light of uncertainties regarding how the SEC will resolve issues relating to its conflict minera (More)
By Mauro M. Wolfe and Jovalin Dedaj Under the new Administration, we have been promised a new tone regarding how Government interfaces with the market.  This “change” is of particular interest to those who defend matters before the SEC.  Wil (More)
This week reports surfaced that a major shift in the SEC enforcement division had taken place - behind the scenes.  The timing is quite interesting as the agency’s annual seminar and SEC Alumni dinner will occur at the end of the month.  No doubt (More)