Tag: cooperation

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 »

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Cooperation is frequently touted as the “secret sauce” that can help an issuer or individual facing potentially harsh regulatory scrutiny and sanctions for wrongful conduct mitigate the resolution of the action. Different regulators take different approaches to this issue but …

Cooperation with the SEC – Value? Read More »

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