02/10/2015 12:35 p.m. - 01:30 p.m. EST
Corporate and Securities Enforcement
David M. Lynn and Marty Dunn
Marty Dunn and David M. Lynn
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The SEC has announced a policy of addressing lesser regulatory violations as well as significant wrongdoing, under the theory that ignoring minor infractions – such as “broken windows” -- might create a climate that permits larger problems to occur. Among the violations pursued by the SEC are late or missing filings of Forms 4, Forms 8-K and Schedules 13D and 13G. Our panelists will address these trends and challenges facing corporations and their advisors. We will focus on the applicable requirements, how to avoid compliance issues, and emerging best practices.
Continuing Legal Education Credits are pending for New York and California.
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