SEC Enforcement Trends – Financial Fraud While financial fraud cases are a traditional staple of the SEC’s Enforcement Program, issuers, directors, officers and even outside vendors and consultants to public companies should take note of the increasing aggressive posture of …

Series: SEC Enforcement Program 2007, Projecting Trends and Key Issues (Part VIII) Read More »

All companies, directors and executives should take note of the warning in a March 8, 2007 speech, Linda Chatman Thomsen, the Director of the SEC’s Division of Enforcement.  In that speech, Ms. Thomsen stated that the SEC is “looking at” …

Safe Harbor Rule 10b5-1 Trading Plans – A New Enforcement Target Read More »