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Agency Enforcement

Enforcement (SEC, DOJ, etc.)

Morgan Lewis: SEC Warns About Exemptive Order Compliance

May 17, 2013 SEC Enforcement Actions

Chapman and Cutler: Securities and Exchange Commission Cease-and-Desist Order Against the City of Harrisburg, Pennsylvania

May 17, 2013 SEC Charges City of Harrisburg with Securities Fraud for Fraudulent Public Statements

Squire Sanders: SEC Finds Fraud In Information Posted to City’s Website

May 14, 2013 SEC Charges City of Harrisburg with Securities Fraud for Fraudulent Public Statements

Tenaris: SEC's First Use of Deferred Prosecution Agreement

Morrison & Foerster: Deferred Prosecution Agreements Truly a “Game Changer” at the SEC for FCPA Violations?

Cahill: SEC Enters Into First Deferred Prosecution Agreement

Bryan Cave: First-of-its-kind SEC Deferred Prosecution Agreement May Mark a New Era of FCPA Enforcement

SEC Actions Dodd-Frank Whistleblowing Rules

WilmerHale: Year Three of the SEC Whistleblower Program: Will It Turbocharge SEC Enforcement?

Latham & Watkins: Attorneys as SEC Whistleblowers: Can an Attorney Blow the Whistle on a Client and Get a Monetary Award?

DLA Piper: Fewer opportunities seen for foreign whistleblowers

SEC Guidance on Enforcement Action Cooperation

Covington & Burling: SEC Doles Out Minimal Benefit to Cooperator

Cozen O'Connor: SEC's First Free Pass Under Cooperation Program...but Don't Expect a Trend

Latham & Watkins: Cooperating with the SEC: Agency Announces First Publicly Disclosed Individual Cooperation Deal

Filip Guidelines & Attorney-Client Privilege

Faegre & Benson: Corporate Counsel Beware: Federal Government Still Wants You to Waive Attorney-Client Privilege

Shearman & Sterling: Privilege and the Fight Against Fraud

Chadbourne & Parke: DOJ Revises Guidelines to Limit Demands that Corporations Waive Attorney-Client Privilege or Not Advance Employees’ Legal Fees as a Condition of “Cooperating” with a Government Investigation

Sentencing Commission Amends Rules Re Sentencing of Organizations

Littler: A Blue-Ribbon Panel Commissioned by the Ethics Resource Center Makes Bold Suggestions to Improve the Federal Sentencing Guidelines for Organizations

Covington & Burling: New Safe Harbor for Corporate Transgressions: Revised sentencing guidelines let companies mitigate violations with an effective ethics and compliance program

Willkie Farr & Gallagher: New Corporate Sentencing Guidelines Provide Guidance Regarding What Constitutes An Effective Corporate Compliance Program

Congressional Investigation

Akin Gump: Preserving Privacy Inside the Beltway: Responding to Congressional Demands for Sensitive Financial and Medical Information

Skadden: BP's Settlement With DOJ: Lessons Learned Within the Congressional Investigations Arena

Kelley Drye: Congressional Response to Public Crisis: How Corporations Can Respond

DOJ's Amnesty/Leniency Program

Akin Gump: Senate Proposes Whistleblower Protections for Antitrust Division’s Leniency Program

Bracewell & Giuliani: Congress Renews Antitrust Leniency Statute for Cooperating Parties

Bingham: ACPERA Extension to 2020 Bolsters Expanding Global Anti-Cartel Enforcement, Enhances Implications for U.S. Civil Litigation

White & Case: Netflix SEC Investigation Report Clarifies the Use of Social Media and Regulation FD

O'Melveny & Myers: The SEC Netflix Report: Social Media May Qualify as a “Recognized Channel of Distribution”

Morgan Lewis: Recent SEC Regulation FD Enforcement Action Relevant to Redemptions

SEC Uses S-Ox Clawback Against Uncharged Executive

Jones Day: Court Upholds SEC's Ability to "Claw Back" Millions from Senior Executive Not Charged with Wrongdoing [SEC v. Jenkins]

Fulbright & Jaworski: SEC Claws “Innocent” Officers

DLA Piper: SEC v. Jenkins: no-fault clawbacks for executive compensation take hold