Securities Law 2011: New Trends in SEC Enforcement Involving Public Companies


“We now know that a functioning and effective financial system demands an effective and committed referee. We must be that referee.”

        -SEC Chairman Mary L. Schapiro speaking to the Society of American Business Editors and Writers
on April 8, 2011 in Dallas, Texas

Haynes and Boone Partner and former SEC Regional Director Kit Addleman recently authored “Securities Law: New Trends in SEC Enforcement,” which she will present at the upcoming Annual Texas Bar Meeting. Because this information offers a mid-year assessment of the SEC’s 2011 enforcement program and contains information currently applicable to public companies, officers and directors, we are pleased to offer you a preview of the presentation material.

In this article, Ms. Addleman details critical information that all public companies need to know to navigate today’s heightened regulatory environment. The paper covers a range of topics, from specific areas of enforcement - accounting and disclosure fraud, insider trading, the Foreign Corrupt Practices Act, and Regulation FD - to remedies and process changes, including clawbacks of executives’ incentive compensation, outside director liability, cooperation credit, and administrative actions.

To view or download the paper, click on the PDF linked below.

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