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Sullivan & Cromwell LLP Publications

Enforcement Highlights

SECond Opinions Blog

Latest

On Heels of Recent Rule Amendments, DOJ… On Heels of Recent Rule Amendments, DOJ and SEC Target Purported 10b5-1 Trading Plan Abuse

DOJ Announces Significant Policy Changes… DOJ Announces Significant Policy Changes Affecting Corporate Criminal Enforcement

Tout, Tout, Let It All Out: SEC… Tout, Tout, Let It All Out: SEC Continues Crackdown on Celebs, Athletes Touting Digital Assets

Enhanced Scrutiny

Latest

Court of Chancery Dismisses Director… Court of Chancery Dismisses Director Oversight Claims Related to Mission Critical Risk

The LPAC Strikes Back . . . When The… The LPAC Strikes Back . . . When The Contract Says It Can

Court of Chancery Validates Putative… Court of Chancery Validates Putative Shares Issued in and After de-SPAC Mergers

Securities and Investment Blog

Latest

Wells Fargo Advisors, LLC wins FINRA… Wells Fargo Advisors, LLC wins FINRA Award sum of $15,300,000.00+ in Damage

Missouri Legislature Proposes Investment… Missouri Legislature Proposes Investment Adviser Disclosure of Social Objectives

Jury Trials in Missouri Securities… Jury Trials in Missouri Securities Division Administrative Enforcement Actions

Securities Litigation

Latest

Georgia Appellate Court Rejects Panel… Georgia Appellate Court Rejects Panel Manipulation Claims, Reverses Vacatur

FINRA Report Denies Arbitrator Selection… FINRA Report Denies Arbitrator Selection Manipulation

SCOTUS: Waiver of Arbitration Does Not… SCOTUS: Waiver of Arbitration Does Not Require Prejudice

Capital Markets & Securities Law Watch

Latest

House Financial Services Committee… House Financial Services Committee Scrutinizes Climate Disclosure Proposals

PCAOB Resets the Clock on Delisting for… PCAOB Resets the Clock on Delisting for China-Based Companies Listed in the U.S.

SEC Adopts Final Rules on Rule 10b5-1… SEC Adopts Final Rules on Rule 10b5-1 Trading Plans and Related Company Disclosure Obligations

The Race to the Bottom Blog

Securities Fraud Lawyer Blog

Latest

Artificial Intelligence Expanding Impact… Artificial Intelligence Expanding Impact on Investing

The Most Common Investment Fraud Tactics… The Most Common Investment Fraud Tactics – Part Two

The Most Common Investment Fraud Tactics… The Most Common Investment Fraud Tactics – Part One

The California Social Security Lawyer Blog

The Securities Law Blog

Latest

SEC Virtual Outreach Event Highlights… SEC Virtual Outreach Event Highlights Students on the Frontlines of Investor Protection

SEC Office of Municipal Securities… SEC Office of Municipal Securities Issues FAQs for Registration of Municipal Advisors

UBS Agrees to Acquire Credit Suisse UBS Agrees to Acquire Credit Suisse

Enforcement Highlights

Latest

SEC Examinations 2022 Priorities: Reg… SEC Examinations 2022 Priorities: Reg BI, ESG, Private Funds, Information Security & Operational Resiliency, and Crypto

FINRA Wades into the Controversial… FINRA Wades into the Controversial Deep-End of CCO Supervisory Liability

The SEC Sues Investment Advisory Firm in… The SEC Sues Investment Advisory Firm in Connection with Alleged Failure to Disclose Revenue Sharing and Other Financial Conflicts, as Well as Converting Clients to Wrap Accounts Without Considering Whether it is in Clients’ Best Interests

Public Chatter

Latest

DOJ Announces Pilot Program and Updated… DOJ Announces Pilot Program and Updated Expectations on Corporate Compensation Programs

DOJ Issues New Guidance on Use of… DOJ Issues New Guidance on Use of Personal Devices and Third-Party Messaging Applications

Corp Fin's Guidance on VIFs: An… Corp Fin's Guidance on VIFs: An Unexpected Development from Universal Proxy

Elizabeth L. Carter Blog

Latest

Digital Assets and Crowdfunding: How… Digital Assets and Crowdfunding: How This Relates to Investor Status

Chicago-Based Community Investment Funds… Chicago-Based Community Investment Funds Making a Difference

Could SEC’s mandating ESG disclosures… Could SEC’s mandating ESG disclosures harm Black businesses?

Federal Securities Law Source

Latest

Increasing commentary on the importance… Increasing commentary on the importance of ESG disclosure

Federal Corporate Transparency Act… Federal Corporate Transparency Act requires companies to disclose beneficial owner

Paycheck Protection Program loan… Paycheck Protection Program loan necessity questionnaire

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