SEC's Enforcement's First Publicly Disclosed Individual Cooperation Deal
As noted in this Latham & Watkin's memo, the SEC's Enforcement Division declined to prosecute a former AXA Rosenberg executive based on his assistance under the SEC Cooperation Standards Program, which gives important guidance and definition to the promise of the program.
More on "Chaos in the SEC's Inspector General's Office: 'He Said, They Said'"
Recently, I blogged about the madness in the SEC's Inspector General's office as a number of allegations are being investigated about a number of the Staffers there. Bear in mind that it's a small office with a handful of people working in it. The latest drama is laid out in this detailed Reuter's article.
Our New "Shareholder Communications with Directors Disclosure Handbook"
Spanking brand new. Posted in our "Shareholder-Director Communications" Practice Area, this comprehensive "Shareholder Communications with Directors Disclosure Handbook" provides a heap of practical guidance about the disclosure obligations under Item 407(f) of Regulation S-K.
- Broc Romanek