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Preparing for Year-End Audits: Recent Enforcement Action Highlights Potential Third-Party Liabilities for False Confirmations to Auditors from Fried Frank. (01/09/06)
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SEC Adopts 'Statement of Principles' for Imposing Civil Penalties Against Corporations that Violate Securities Laws from Kirkland & Ellis LLP. (01/18/06)
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SEC Releases Guidance on Corporate Penalties from Alston & Bird LLP. (01/13/06)
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SEC Sets Framework for Imposing Financial Penalties on Corporations from Morrison & Foerster LLP. (01/12/06)
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SEC Issues Corporate Penalty Guidelines from Covington & Burling. (01/10/06)
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SEC Issues Guidance on Corporate Financial Penalties from Wachtell, Lipton, Rosen & Katz. (01/10/06)
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Siebel Systems and Two Former Officers Prevail Over SEC in Regulation FD Dispute from Morrison & Foerster LLP. (09/22/05)
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U.S. District Court Dismisses SEC Complaint In Regulation FD Case from Thacher Proffitt & Wood LLP. (09/12/05)
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District Court Dismisses SEC Complaint In Regulation FD Enforcement Action from Alsont & Bird LLP. (09/07/05)
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Deferred Prosecutions on Rise in Corporate Bribery Cases. (08/17/05)
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Corporate Law Bulletin: SEC Enforcement Action against Flowserve Corporation from Morrison & Foerster. (04/05/05)
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Ninth Circuit Revisits Sarbanes-Oxley Act Provision for Escrow of Extraordinary Payments in Connection with Investigation of Possible Securities Fraud from Wachtell, Lipton, Rosen & Katz. (04/04/05)
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Securities Law Advisory: Recent SEC Enforcement Action Renews Emphasis on Regulation FD from Alston & Bird LLP. (03/29/05)
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Securities Litigation: Ninth Circuit Defines SEC Power to Obtain Pre-Litigation Freeze of “Extraordinary Payments” to Executives from Morrison and Foerster LLP. (03/29/05)
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SEC Issues Section 21(a) Report Challenging Merger Proxy Disclosure of "Naked" Merger Agreement Representations from Wachtell, Lipton, Rosen & Katz. (03/07/05)
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Acquisition Agreements as SEC Disclosure Documents from Dechert LLP. (03/03/05)
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SecMail: SEC v. Lawyers: The Google Chapter from Fried, Frank, Harris, Shriver & Jacobson LLP. (02/15/05)
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M&A Notes: Lawyer Found Liable for Fraud in Client's Merger Transaction from Kirkland & Ellis LLP. (02/08/05)
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Client Alert: SEC’s Dim View of Indemnification Darkens from Bailey Cavalieri LLC. (01/26/05)
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SEC Update:
Satisfying the SEC from Paul, Weiss, Rifkind, Wharton & Garrison
LLP. (11/16/04)
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Effective
Compliance and Ethics Programs under the Amended Sentencing
Guidelines from Mayer, Brown, Rowe & Maw. (09/28/04)
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Sentencing
Guideline Revisions: New Focus on Corporate Compliance
and Ethics Programs from Bryan Cave LLP. (09/10/04)
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Protection for Whistleblowers Under the Sarbanes-Oxley Act from Covington & Burling. (08/04/04)
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SEC
Charges Siebel Systems, Inc. with Second Violation of
Regulation FD and Brings First Case Charging a Violation
of Rule Requiring Issuers to Maintain Adequate Disclosure
Controls and Procedures from Morrison and Foerster LLP. (07/12/04)
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SEC
Charges Public Company With Second Regulation FD Violation
from Wachtell, Lipton Rosen and Katz. (07/07/04)
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The Cooperation Conundrum
by James J. Farrell and Jeremy G. Suiter. (July
2004)
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SEC
Investigations: How Much Cooperation is Enough? from
Nixon Peabody (04/08/04)
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The PCAOB Takes on Enforcement
by Mary M. Sjoquist and Marilyn H. Weimer. (March
2004)
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The
New World of SEC Enforcement from Morrison & Foerster
LLP (12/08/03)
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Imposing
Corporate Governance Reform: The SEC takes action
from Nixon Peabody LLP (12/02/03)
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SEC
Announces First Settlement of Regulation FD Enforcement
Action from Alston Bird LLP (10/22/03)
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Sarbanes– Oxley
Enhancements to the SEC’s Enforcement Authority.
(September 2003)
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The Extent
of Primary Liability in the Age of Enron. (May 2003)
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Regulation
FD Enforcement Actions Settled from Nixon Peabody (12/5/02)
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SEC Announces First Enforcement Actions Relating to
Regulation FD; Plaintiffs’ Bar Attempts to Allege a Private Cause
of Action Under Regulation FD from Alston & Bird (12/3/02)
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SEC Update: Regulation FD Developments from Hogan & Hartson (12/3/02)
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SEC Obtains
First Three Cease-and-Desist Orders for Violations
of Regulation FD and Issues Report of Investigation
in Fourth Regulation FD Enforcement Proceeding from
O'Melveny & Myers (12/2/02)
