More Securities & Exchange Commission (SEC) Articles

Labor & Employment

Fifth Third Bancorp v. Dudenhoeffer: Supreme Court Rejects "Presumption of Prudence" For Stock Drop Cases

On June 25, the United States Supreme Court issued its decision in Fifth Third Bancorp v. Dudenhoeffer, a decision that had been highly anticipated by the ERISA bar. The question before the Court was whether the so-called Moench presumption of prudence applied to a motion to dismiss. Rather than...

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Corporate Internal Investigations Alert: SEC Gives $300,000 Whistleblower Award To Employee Responsible For Compliance And Audit Functions

On August 29, 2014, the Securities and Exchange Commission (“SEC”) announced a whistleblower award of more than $300,000 for a company employee who performed audit and compliance functions.[1] The award, twenty percent of the amount the SEC collected in an enforcement action,...

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Regulatory & Compliance

The Revolving Door

Perhaps the most frequent criticism directed at government regulatory agencies, particularly on the federal level, is the likelihood of “regulatory capture” as a result of the perceived iniquity of the “revolving door” – that is, the insidiousness perceived by...

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