Companies and individuals engaged in the securities and commodities industry regularly confront changing regulatory, economic, and competitive requirements. They rely on deep and informed knowledge to help anticipate and respond to new and evolving developments.
Publications
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12.18.2023Gatekeepers Beware: The New US Corporate Transparency Act Could Be a Game-ChangerIn a Financial Times op-ed, Jamie Schafer explains how the U.S. Corporate Transparency Act will require certain corporations, limited liability companies and similar entities to report beneficial ownership information to the Treasury Department for the first time and how the most important aspect of the new law seeks to dismantle the infrastructure that enables money laundering and other related financial crimes.
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05.08.2023Private Early-Stage Startup Companies Coming Under Increased SEC ScrutinyUpdatesWhile sophisticated participants in private markets have historically been seen as capable of bargaining for information or withstanding losses better than mom-and-pop investors, current events signal that the U.S. Securities and Exchange Commission intends to increase regulation and scrutiny of private companies.
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10.06.2020Catching Up (Virtually) With the RegulatorsUpdatesThe white collar bar “got together” for a virtual discussion on the current landscape of the practice on September 23, 2020.
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02.28.2018SEC Speaks 2018: Flexibility and Cooperation on Both SidesUpdatesAt this year’s PLI “SEC Speaks” conference held February 22-23, 2018, in Washington, D.C., the U. S. Securities and Exchange Commission’s senior leadership showcased its 2017 accomplishments, and previewed priorities for 2018 and beyond.
Highlighted in Law360's: "In Case you Missed It: Hottest Firms And Stories On Law360," on 03.02.2018. -
03.27.2012A Model Of Cooperation With The SECArticles
Law360
On March 19, 2012, the U.S. Securities and Exchange Commission announced that in exchange for his substantial cooperation during the agency's enforcement action against AXA Rosenberg Group LLC and its CEO, Barr M. Rosenberg, it would not take enforcement action against an unnamed former AXA Rosenberg senior executive.
Presentations
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11.09.2016Boise Breakfast Briefing – Securities LitigationSeminarsPerkins Coie partners, Todd Kerr, Michael Clyde and Pravin Rao, as they address: common issues raised by shareholders; different kinds of shareholder demands; best practices for responding to shareholder demands and avoiding shareholder litigation; How a derivative lawsuit differs from other litigation; considerations for derivative litigation; indemnification claims and D&O insurance coverage and internal and government investigations.
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06.15.2016When the SEC Comes Knocking: Effectively Responding to SEC InquiriesSeminarsPerkins Coie Breakfast Briefing Series / Boise, IDWhether public or private, your company is at risk for being subpoenaed and investigated by the SEC. Please join Perkins Coie Partners, Jose Lopez, a former enforcement attorney with the U.S. Securities and Exchange Commission - Midwest Regional Office, and Sean Prosser, a former enforcement attorney with the U.S. Securities and Exchange Commission - Pacific Regional Office