Publications

• NYU Compliance & Enforcement Blog: Likely Policy Priorities of the Gensler SEC
  23 April 2021
  NYU Compliance & Enforcement Blog
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jeff Robins
  ,
  Jonathan R. Tuttle
  ,
  Charu A. Chandrasekhar
  ,
  Amy Aixi Zhang
• SEC Division of Examinations Issues ESG Risk Alert
  16 April 2021
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Marc Ponchione
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
  ,
  James B. Amler
  ,
  Tara P. Ganapathy
• Likely Policy Priorities of the Gensler SEC
  14 April 2021
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jeff Robins
  ,
  Jonathan R. Tuttle
  ,
  Charu A. Chandrasekhar
  ,
  Amy Aixi Zhang
• SEC Sues AT&T and Three Executives for Selective Disclosures to Analysts
  9 March 2021
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• 2021 SEC Division of Examinations Priorities
  8 March 2021
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jeff Robins
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  James B. Amler
  ,
  Charu A. Chandrasekhar
  ,
  Ada Fernandez Johnson
  ,
  Scott M. Caravello
• A Shot Across the Bow: Acting SEC Chair Lee Reinstitutes Delegated Authority for Senior Enforcement Leadership and Rescinds Clayton’s Waiver Policy
  16 February 2021
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Charu A. Chandrasekhar
  ,
  Ada Fernandez Johnson
• FCPA Update January 2021
  2 February 2021
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Andrew M. Levine
  ,
  David A. O'Neil
  ,
  Karolos Seeger
  ,
  Jane Shvets
  ,
  Bruce E. Yannett
  ,
  Alexandre Bisch
  ,
  Erich O. Grosz
  ,
  Ada Fernandez Johnson
  ,
  Anna V. Maximenko
  ,
  Philip Rohlik
  ,
  Daniel Aun
  ,
  Konstantin Bureiko
  ,
  Aisling Cowell
  ,
  Andreas A. Glimenakis
  ,
  Elena Klutchareva
  ,
  Ramsay McCulloch
  ,
  Daniel J. Marcus
  ,
  Dr. Friedrich Popp
• Second Circuit Set To Revisit Insider Trading Decision Post-Bridgegate
  19 January 2021
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Charu A. Chandrasekhar
  ,
  Eric Silverberg
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• SEC Adopts New Market Data Infrastructure Rules to Modernize the National Market System; Implications for Best Execution Obligations
  7 January 2021
  Andrew J. Ceresney
  ,
  Marc Ponchione
  ,
  Julie M. Riewe
  ,
  Jeff Robins
  ,
  Charu A. Chandrasekhar
• SEC Announces Reg BI-Focused Examinations to Begin in January 2021
  7 January 2021
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jeff Robins
  ,
  Jonathan R. Tuttle
  ,
  Charu A. Chandrasekhar
  ,
  Ada Fernandez Johnson
  ,
  Jonathan M. DeMars
• 2020/2021 Private Equity Year End Review and Outlook
  7 January 2021
  Jonathan Adler
  ,
  William D. Regner
  ,
  John W. Rife III
  ,
  Alisa A. Waxman
  ,
  Jennifer R. Cestaro
  ,
  Katherine Ashton
  ,
  E. Drew Dutton
  ,
  Jane Engelhardt
  ,
  Andrew C. Rearick
  ,
  Thomas Smith
  ,
  Ramya S. Tiller
  ,
  Christopher Anthony
  ,
  Kevin M. Schmidt
  ,
  Maurizio Levi-Minzi
  ,
  Geoffrey P. Burgess
  ,
  Dominic Blaxill
  ,
  William Y. Chua
  ,
  Wen-Wei Lai
  ,
  Jyotin Hamid
  ,
  Morgan J. Hayes
  ,
  Steven J. Slutzky
  ,
  David L. Wayne
  ,
  Richard Ward
  ,
  Jennifer Wheater
  ,
  Paul Eastham
  ,
  Peter A. Furci
  ,
  Rafael Kariyev
  ,
  Jay E. Evans
  ,
  Samuel D. Krawiecz
  ,
  Andrew L. Bab
  ,
  Jennifer L. Chu
  ,
  Paul D. Rubin
  ,
  Jacob W. Stahl
  ,
  Kim T. Le
  ,
  Jyotin Hamid
  ,
  Meir D. Katz
  ,
  Jonathan F. Lewis
  ,
  Tricia Bozyk Sherno
  ,
  Ezra Borut
  ,
  Jeffrey P. Cunard
  ,
  Marc Ponchione
  ,
  Kenneth J. Berman
  ,
  Gregory T. Larkin
  ,
  Norma Angelica Freeland
  ,
  Patricia Volhard
  ,
  Christopher Dortschy
  ,
  Jin-Hyuk Jang
  ,
  John Young
  ,
  Andrew J. Ceresney
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Merryl Lawry-White
  ,
  Sally Bergmann
  ,
  Scott B. Selinger
  ,
  Stuart Hammer
  ,
  Luke Dembosky
  ,
  Avi Gesser
  ,
  Jim Pastore
  ,
  Megan K. Bannigan
  ,
  David H. Bernstein
  ,
  M. Natasha Labovitz
  ,
  Sidney P. Levinson
  ,
  Peter J. Irwin
  ,
  Malina Welman
  ,
  Paul S. Bird
• The SEC’s Expanded Disgorgement Authority Complicates Investigations and Settlements
  4 January 2021
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Charu A. Chandrasekhar
  ,
  Mark D. Flinn
• The Cheesecake Factory Settles SEC’s First Enforcement Action Against a Public Company for Misleading COVID-19 Disclosures Regarding Financial Impact of the Pandemic
  8 December 2020
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Matthew E. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Charu A. Chandrasekhar
  ,
  Ada Fernandez Johnson
  ,
  Jonathan M. DeMars
  ,
  Mark D. Flinn
• Recent U.S. Developments, Including Passage of Holding Foreign Companies Accountable Act, Signal Harder Stance with China
  7 December 2020
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  William Y. Chua
  ,
  Gareth Hughes
  ,
  Matthew E. Kaplan
  ,
  Satish M. Kini
  ,
  Peter J. Loughran
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
  ,
  Philip Rohlik
  ,
  Tingting Wu
• SEC Annual Report on Whistleblower Program Highlights Record-Setting 10-Year Anniversary
  19 November 2020
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Ada Fernandez Johnson
  ,
  Michael P. Geraltowski
• Compliance & Enforcement: Despite Unprecedented Challenges, SEC’s Division of Enforcement’s 2020 Annual Report Presents Healthy Enforcement Results
  9 November 2020
  Compliance & Enforcement
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Ada Fernandez Johnson
  ,
  Mark D. Flinn
• Despite Unprecedented Challenges, SEC’s Division of Enforcement 2020 Annual Report Presents Healthy Enforcement Results
  3 November 2020
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Ada Fernandez Johnson
  ,
  Mark D. Flinn
• Insufficient Internal Controls Result in SEC Enforcement in Connection with Rule 10b5-1 Plan
  23 October 2020
  Andrew J. Ceresney
  ,
  Morgan J. Hayes
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
  ,
  Jonathan R. Tuttle
• SEC Adopts Amendments to Whistleblower Rules to Enhance Program Efficiency and Effectiveness
  24 September 2020
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• Compliance & Enforcement: SEC Brings Enforcement Action Against Investment Adviser for Section 13 Beneficial Ownership Reporting Failures
  23 September 2020
  Compliance & Enforcement
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Nicholas P. Pellicani
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
• SEC Brings Enforcement Action Against Investment Adviser for Section 13 Beneficial Ownership Reporting Failures
  21 September 2020
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Nicholas P. Pellicani
• 2020 Private Equity Midyear Review and Outlook
  31 July 2020
  Jonathan Adler
  ,
  Andrew M. Ahern
  ,
  Christopher Anthony
  ,
  Megan K. Bannigan
  ,
  David H. Bernstein
  ,
  Kenneth J. Berman
  ,
  Paul S. Bird
  ,
  Ezra Borut
  ,
  Geoffrey P. Burgess
  ,
  Jennifer R. Cestaro
  ,
  Jennifer L. Chu
  ,
  William Y. Chua
  ,
  Andrew J. Ceresney
  ,
  Jeffrey P. Cunard
  ,
  Peter A. Furci
  ,
  Morgan J. Hayes
  ,
  Peter J. Irwin
  ,
  Robert B. Kaplan
  ,
  Rafael Kariyev
  ,
  M. Natasha Labovitz
  ,
  Andrew M. Levine
  ,
  Sidney P. Levinson
  ,
  Nicole Levin Mesard
  ,
  Marc Ponchione
  ,
  Julie M. Riewe
  ,
  Edward M. Rishty
  ,
  Kevin M. Schmidt
  ,
  Shannon Rose Selden
  ,
  Scott B. Selinger
  ,
  Steven J. Slutzky
  ,
  Thomas Smith
  ,
  Ramya S. Tiller
  ,
  Patricia Volhard
  ,
  Richard Ward
  ,
  Alisa A. Waxman
  ,
  Michael P. McGuigan
  ,
  Samuel D. Krawiecz
  ,
  Stuart Hammer
  ,
  Dominic Blaxill
  ,
  Christopher Dortschy
  ,
  Paul Eastham
  ,
  Gregory T. Larkin
  ,
  Jin-Hyuk Jang
  ,
  Jennifer Wheater
  ,
  John Young
  ,
  Almas Daud
  ,
  Paul Eastham
  ,
  Jay E. Evans
  ,
  Norma Angelica Freeland
  ,
  Samuel D. Krawiecz
  ,
  Wen-Wei Lai
  ,
  Merryl Lawry-White
  ,
  Joshua B. Pickar
• Law360: 5 Ways To Mitigate Whistleblower Risk During COVID-19
  8 July 2020
  Law360
  Arian M. June
  ,
  Andrew J. Ceresney
  ,
  Suzanne Zakaria
• U.S. Enforcement Agencies Release Second Edition of FCPA Resource Guide
  8 July 2020
  Kara Brockmeyer
  ,
  Helen V. Cantwell
  ,
  Andrew J. Ceresney
  ,
  Andrew M. Levine
  ,
  David A. O'Neil
  ,
  Winston M. Paes
  ,
  David Sarratt
  ,
  Jane Shvets
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Bruce E. Yannett
  ,
  Lisa Zornberg
  ,
  Ada Fernandez Johnson
  ,
  Philip Rohlik
• Law360: SEC's Insider Info Case Shows Perils Of Portfolio Co. Trading
  3 July 2020
  Law360
  Andrew J. Ceresney
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
• Supreme Court Liu Decision Upholds SEC Disgorgement Power While Suggesting Potential Limits, and May Impact FTC Enforcement
  23 June 2020
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Andrew M. Levine
  ,
  David A. O'Neil
  ,
  Julie M. Riewe
  ,
  Paul D. Rubin
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
  ,
  Mary Jo White
  ,
  Ada Fernandez Johnson
  ,
  Valerie A. Zuckerman
• DOJ Updates Guidance on Corporate Compliance Programs
  8 June 2020
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Andrew M. Levine
  ,
  Jane Shvets
  ,
  Bruce E. Yannett
  ,
  Erich O. Grosz
• SEC to Fund Managers with Access to MNPI: Trade in Portfolio Company Securities at Your Peril
  28 May 2020
  Kenneth J. Berman
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Matthew E. Kaplan
  ,
  Robert B. Kaplan
  ,
  Marc Ponchione
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
• SEC Shows Continued Willingness to Award Compliance Whistleblowers
  3 April 2020
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Ada Fernandez Johnson
  ,
  Suzanne Zakaria
• SEC Enforcement Co-Directors Address Important Issues of Market Integrity
  25 March 2020
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Matthew E. Kaplan
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
  ,
  Jonathan M. DeMars
• FCPA Update February 2020
  28 February 2020
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Andrew M. Levine
  ,
  David A. O'Neil
  ,
  Dr. Thomas Schürrle
  ,
  Karolos Seeger
  ,
  Jane Shvets
  ,
  Bruce E. Yannett
  ,
  Erich O. Grosz
  ,
  Alexandre Bisch
  ,
  Philip Rohlik
  ,
  Daniel Aun
  ,
  Aisling Cowell
  ,
  Sol Czerwonko
  ,
  Andreas A. Glimenakis
  ,
  Martha Hirst
  ,
  Thomas Jenkins
  ,
  Carolina Kupferman
  ,
  Andrew Lee
  ,
  Alma M. Mozetič
  ,
  Katherine L. Nelson
  ,
  Gabriel Silva
  ,
  Marisa R. Taney
  ,
  Stephanie D. Thomas
  ,
  Suzanne Zakaria
  ,
  Valerie A. Zuckerman
• FCPA Update January 2020
  31 January 2020
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Andrew M. Levine
  ,
  David A. O'Neil
  ,
  Dr. Thomas Schürrle
  ,
  Karolos Seeger
  ,
  Jane Shvets
  ,
  Bruce E. Yannett
  ,
  Erich O. Grosz
  ,
  Alexandre Bisch
  ,
  Philip Rohlik
  ,
  Daniel Aun
  ,
  Aisling Cowell
  ,
  Sol Czerwonko
  ,
  Andreas A. Glimenakis
  ,
  Martha Hirst
  ,
  Thomas Jenkins
  ,
  Carolina Kupferman
  ,
  Andrew Lee
  ,
  Alma M. Mozetič
  ,
  Katherine L. Nelson
  ,
  Dr. Friedrich Popp
  ,
  Gabriel Silva
  ,
  Marisa R. Taney
  ,
  Stephanie D. Thomas
  ,
  Suzanne Zakaria
  ,
  Valerie A. Zuckerman
• 2020 OCIE Priorities: Private Equity Remains Area of Interest, Focus on Retail and New SEC and Market-Wide Developments
  15 January 2020
  Kenneth J. Berman
  ,
  Andrew J. Ceresney
  ,
  Luke Dembosky
  ,
  Robert B. Kaplan
  ,
  Jim Pastore
  ,
  Julie M. Riewe
  ,
  Jeff Robins
  ,
  Jonathan R. Tuttle
  ,
  James B. Amler
  ,
  Gregory T. Larkin
  ,
  Norma Angelica Freeland
• 2019/2020 Private Equity Year-End Review and Outlook
  19 December 2019
  Jonathan Adler
  ,
  Christopher Anthony
  ,
  Kenneth J. Berman
  ,
  Lorna Bowen
  ,
  Andrew J. Ceresney
  ,
  William Y. Chua
  ,
  Alan J. Davies
  ,
  Andrew Ford
  ,
  Robert B. Kaplan
  ,
  Pierre Maugüé
  ,
  Julie M. Riewe
  ,
  John W. Rife III
  ,
  Samantha J. Rowe
  ,
  Scott B. Selinger
  ,
  Thomas Smith
  ,
  Patricia Volhard
  ,
  Richard Ward
  ,
  Gregory T. Larkin
  ,
  Jin-Hyuk Jang
  ,
  John Young
  ,
  Dominic Blaxill
  ,
  Conway Blake
  ,
  Tom Cornell
  ,
  Paul Eastham
  ,
  Michelle Gilmore
  ,
  Felix Paterson
  ,
  Ryan T. Rafferty
• SEC’s Division of Enforcement 2019 Annual Report Presents Strong Enforcement Results
  7 November 2019
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  James B. Amler
  ,
  Ada Fernandez Johnson
• Accounting and Financial Reporting Enforcement Round-Up
  28 October 2019
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Arian M. June
  ,
  Mark D. Flinn
  ,
  Jonathan M. DeMars
• Law360: Drugmaker Fine Shows SEC's Renewed Disclosure Focus
  30 August 2019
  Law360
  Andrew J. Ceresney
  ,
  Paul M. Rodel
  ,
  Paul D. Rubin
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
  ,
  Melissa Runsten
• SEC Charges Pharmaceutical Company for Violation of Regulation FD, Reinforcing Need to Establish Policies for Handling Material Non-Public Information
  23 August 2019
  Andrew J. Ceresney
  ,
  Paul M. Rodel
  ,
  Paul D. Rubin
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
  ,
  Melissa Runsten
• 2019 Private Equity Midyear Review and Outlook
  23 July 2019
  Jonathan Adler
  ,
  Christopher Anthony
  ,
  Kenneth J. Berman
  ,
  Andrew J. Ceresney
  ,
  Jeffrey P. Cunard
  ,
  Andrew Ford
  ,
  Peter A. Furci
  ,
  Morgan J. Hayes
  ,
  Robert B. Kaplan
  ,
  Rafael Kariyev
  ,
  Julie M. Riewe
  ,
  John W. Rife III
  ,
  Shannon Rose Selden
  ,
  Scott B. Selinger
  ,
  Thomas Smith
  ,
  Steven J. Slutzky
  ,
  Ramya S. Tiller
  ,
  Patricia Volhard
  ,
  Jin-Hyuk Jang
  ,
  Gregory T. Larkin
  ,
  Michael P. McGuigan
  ,
  John Young
  ,
  Almas Daud
  ,
  Anna R. Gressel
  ,
  Samuel D. Krawiecz
  ,
  Felix Paterson
• House Financial Services Committee Considers Legislation that Would Make SEC Waivers More Difficult for Parties Settling with the Commission
  24 June 2019
  Kenneth J. Berman
  ,
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  James B. Amler
• Law360: DC Circ. Gives New Meaning To 'Willful' In Securities Statutes
  14 May 2019
  Law360
  Mary Jo White
  ,
  Andrew J. Ceresney
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Kenneth J. Berman
  ,
  James B. Amler
  ,
  Matthew Specht
• District Court Opinion Criticizes Government “Outsourcing” of Investigations
  6 May 2019
  Helen V. Cantwell
  ,
  Andrew J. Ceresney
  ,
  David A. O'Neil
  ,
  Mary Beth Hogan
  ,
  Mary Jo White
  ,
  Bruce E. Yannett
  ,
  Lisa Zornberg
  ,
  Erich O. Grosz
• DOJ Updates Guidance on Evaluating Corporate Compliance Programs
  3 May 2019
  Kara Brockmeyer
  ,
  Helen V. Cantwell
  ,
  Andrew J. Ceresney
  ,
  Andrew M. Levine
  ,
  David A. O'Neil
  ,
  David Sarratt
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Bruce E. Yannett
  ,
  Lisa Zornberg
• Law360: What SEC Exam Trends Mean For Asset Managers
  26 April 2019
  Law360
  Kenneth J. Berman
  ,
  Andrew J. Ceresney
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  James B. Amler
• U.S. Supreme Court Sides with SEC in Interpreting “Scheme Liability”
  29 March 2019
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Robert B. Kaplan
  ,
  Matthew E. Kaplan
  ,
  Maeve O'Connor
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Bruce E. Yannett
  ,
  Ada Fernandez Johnson
• Nissan SEC Inquiry Highlights Uncertainty for Non-U.S. Issuers of ADRs
  31 January 2019
  James C. Scoville
  ,
  Alan Kartashkin
  ,
  Vera Losonci
  ,
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
• FCPA Update January 2019
  31 January 2019
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Andrew M. Levine
  ,
  Philip Rohlik
  ,
  Karolos Seeger
  ,
  Jane Shvets
  ,
  David A. O'Neil
  ,
  Bruce E. Yannett
  ,
  Erich O. Grosz
  ,
  Daniel Aun
  ,
  Carolina Kupferman
• Tenth Circuit Affirms SEC's Extraterritorial Reach
  29 January 2019
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Ada Fernandez Johnson
• Failure to Present GAAP Measures with “Equal or Greater Prominence” Brings Swift SEC Enforcement Action
  10 January 2019
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Paul M. Rodel
  ,
  Mary Jo White
  ,
  C. Chloe Orlando
• OCIE’s 2019 Priorities Focus on Retail, But PE Managers Remain in Examiners’ Sights
  9 January 2019
  Jonathan Adler
  ,
  Andrew M. Ahern
  ,
  Kenneth J. Berman
  ,
  Andrew J. Ceresney
  ,
  Luke Dembosky
  ,
  Robert B. Kaplan
  ,
  Jim Pastore
  ,
  Julie M. Riewe
  ,
  Rebecca F. Silberstein
  ,
  Jonathan R. Tuttle
  ,
  Gregory T. Larkin
  ,
  Norma Angelica Freeland
• SEC Enforcement Against Private Equity Advisers Continues
  18 December 2018
  Jonathan Adler
  ,
  Kenneth J. Berman
  ,
  Andrew J. Ceresney
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Rebecca F. Silberstein
  ,
  Jonathan R. Tuttle
  ,
  Gregory T. Larkin
  ,
  Norma Angelica Freeland
• SEC Announces Record-Breaking Year for Whistleblower Program
  26 November 2018
  Andrew J. Ceresney
  ,
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Andrew M. Levine
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Ada Fernandez Johnson
  ,
  Arian M. June
  ,
  Katherine L. Nelson
• The SEC/FDA Nexus: Best Practices for Publicly Traded Life Sciences Companies
  19 November 2018
  Bloomberg Law
  Andrew J. Ceresney
  ,
  Maura Kathleen Monaghan
  ,
  Paul M. Rodel
  ,
  Paul D. Rubin
  ,
  Jacob W. Stahl
• A Strong Year For SEC Enforcement
  6 November 2018
  Law360
  Mary Jo White
  ,
  Andrew J. Ceresney
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
• SEC’s Division of Enforcement Issues 2018 Annual Report
  5 November 2018
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Robert B. Kaplan
  ,
  Andrew M. Levine
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Bruce E. Yannett
  ,
  Ada Fernandez Johnson
  ,
  James B. Amler
  ,
  Arian M. June
• Debevoise & Plimpton on the SEC Enforcement Division’s 2018 Annual Report
  2 November 2018
  CLS Blue Sky Blog
  Mary Jo White
  ,
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
• 2018 Private Equity Midyear Review and Outlook
  9 August 2018
  Jonathan Adler
  ,
  Andrew M. Ahern
  ,
  Catherine Amirfar
  ,
  Christopher Anthony
  ,
  Kenneth J. Berman
  ,
  Andrew J. Ceresney
  ,
  Peter A. Furci
  ,
  Robert B. Kaplan
  ,
  Rafael Kariyev
  ,
  Satish M. Kini
  ,
  Sue Meng
  ,
  Julie M. Riewe
  ,
  Thomas Smith
  ,
  Patricia Volhard
  ,
  Luke P. Eldridge
  ,
  Felix Paterson
• Supreme Court Holds Appointment of SEC’s In-House Judges Unconstitutional
  25 June 2018
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
  ,
  Ada Fernandez Johnson
• Banking Regulators’ Examination Authority Does Not Override Attorney-Client Privilege
  16 May 2018
  Mary Jo White
  ,
  Andrew J. Ceresney
  ,
  David Sarratt
• DOJ's New Policy on Coordination of Corporate Resolutions Aims to Reduce “Piling On”
  11 May 2018
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Andrew M. Levine
  ,
  David A. O'Neil
  ,
  Bruce E. Yannett
  ,
  Erich O. Grosz
• Accounting & Financial Reporting Enforcement Round-Up
  5 May 2018
  Issue
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Arian M. June
  ,
  Mark D. Flinn
• Regulators Keep the Focus on Firms’ SAR Obligations
  12 April 2018
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Satish M. Kini
  ,
  Julie M. Riewe
  ,
  Mary Jo White
  ,
  Arian M. June
• FCPA Update February 2018
  Vol. 9, No. 7
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Andrew M. Levine
  ,
  David A. O'Neil
  ,
  Karolos Seeger
  ,
  Jane Shvets
  ,
  Bruce E. Yannett
  ,
  Erich O. Grosz
  ,
  Philip Rohlik
  ,
  Antoine F. Kirry
  ,
  Frederick T. Davis
  ,
  Alexandre Bisch
• Supreme Court Clarifies Scope of Dodd-Frank’s Whistleblower Protections
  22 February 2018
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Ada Fernandez Johnson
  ,
  Arian M. June
• SEC’s Division of Enforcement Announces Self-Reporting Program for Advisers Who Failed to Disclose Conflicts in Share Class Selection
  13 February 2018
  Kenneth J. Berman
  ,
  Andrew J. Ceresney
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
• OCIE 2018 Examination Priorities Focus on Retail, but Private Fund Sponsors Still in Crosshairs
  13 February 2018
  Jonathan Adler
  ,
  Andrew M. Ahern
  ,
  Kenneth J. Berman
  ,
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Rebecca F. Silberstein
  ,
  Jonathan R. Tuttle
  ,
  Gregory T. Larkin
  ,
  Norma Angelica Freeland
• FCPA Update January 2018
  Vol. 9, No. 6
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Andrew M. Levine
  ,
  David A. O'Neil
  ,
  Karolos Seeger
  ,
  Jane Shvets
  ,
  Bruce E. Yannett
  ,
  Erich O. Grosz
  ,
  Philip Rohlik
  ,
  Antoine F. Kirry
  ,
  Frederick T. Davis
  ,
  Alexandre Bisch
  ,
  Carolina Kupferman
• Accounting & Financial Reporting Enforcement Round-Up
  Issue 4, January 2018
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Arian M. June
  ,
  Mark D. Flinn
• Federal Reserve Proposes Guidance on Effective Management
  11 January 2018
  Helen V. Cantwell
  ,
  Andrew J. Ceresney
  ,
  Satish M. Kini
  ,
  Gregory J. Lyons
  ,
  Caroline Novogrod Swett
• FCPA Update December 2017
  Vol. 9, No. 5
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Andrew M. Levine
  ,
  David A. O'Neil
  ,
  Karolos Seeger
  ,
  Jane Shvets
  ,
  Bruce E. Yannett
  ,
  Erich O. Grosz
  ,
  Philip Rohlik
  ,
  Antoine F. Kirry
  ,
  Frederick T. Davis
  ,
  Alexandre Bisch
• 2018 Private Equity Review and Outlook
  21 December 2017
  Jonathan Adler
  ,
  Andrew M. Ahern
  ,
  Catherine Amirfar
  ,
  Kenneth J. Berman
  ,
  Paul S. Bird
  ,
  Andrew J. Ceresney
  ,
  Peter A. Furci
  ,
  Robert B. Kaplan
  ,
  Rafael Kariyev
  ,
  Julie M. Riewe
  ,
  Kevin M. Schmidt
  ,
  Thomas Smith
  ,
  Patricia Volhard
  ,
  Gregory T. Larkin
  ,
  Luke P. Eldridge
• Oral Downloads of Interview Memoranda to Government Regulators Waive Work Product Protection
  15 December 2017
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
  ,
  Ada Fernandez Johnson
• France Announces First-Ever Deferred Prosecution Agreement
  11 December 2017
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Lord Goldsmith QC
  ,
  Antoine F. Kirry
  ,
  Andrew M. Levine
  ,
  David A. O'Neil
  ,
  Karolos Seeger
  ,
  Bruce E. Yannett
  ,
  Frederick T. Davis
  ,
  Alexandre Bisch
• DOJ Announces a Revised FCPA Corporate Enforcement Policy
  30 November 2017
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Andrew M. Levine
  ,
  David A. O'Neil
  ,
  Bruce E. Yannett
  ,
  Ivona Josipovic
• FCPA Update November 2017
  Vol. 9, No. 4
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Andrew M. Levine
  ,
  David A. O'Neil
  ,
  Karolos Seeger
  ,
  Jane Shvets
  ,
  Bruce E. Yannett
  ,
  Erich O. Grosz
  ,
  Philip Rohlik
  ,
  Sol Czerwonko
  ,
  Carolina Kupferman
• FCPA Update October 2017
  Vol. 9, No. 3
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Andrew M. Levine
  ,
  David A. O'Neil
  ,
  Karolos Seeger
  ,
  Jane Shvets
  ,
  Bruce E. Yannett
  ,
  Erich O. Grosz
  ,
  Philip Rohlik
• FCPA Update September 2017
  Vol. 9, No. 2
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Andrew M. Levine
  ,
  David A. O'Neil
  ,
  Karolos Seeger
  ,
  Jane Shvets
  ,
  Bruce E. Yannett
  ,
  Erich O. Grosz
  ,
  Carolina Kupferman
  ,
  Philip Rohlik
  ,
  Daniel Aun
• Accounting & Financial Reporting Enforcement Round-Up
  Issue 3, September 2017
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Arian M. June
  ,
  Mark D. Flinn
• SEC Leadership Discusses Continuing Priorities
  8 September 2017
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Arian M. June
• FCPA Update August 2017
  Vol. 9, No. 1
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Andrew M. Levine
  ,
  David A. O'Neil
  ,
  Karolos Seeger
  ,
  Jane Shvets
  ,
  Bruce E. Yannett
  ,
  Erich O. Grosz
  ,
  Philip Rohlik
• FCPA Update July 2017
  Vol. 8, No. 12
  Bruce E. Yannett
  ,
  Andrew J. Ceresney
  ,
  Andrew M. Levine
  ,
  Karolos Seeger
  ,
  Erich O. Grosz
  ,
  Kara Brockmeyer
  ,
  David A. O'Neil
  ,
  Jane Shvets
  ,
  Philip Rohlik
• The Impact Of The Kokesh Decision On Disgorgement For Conduct Within The Statute Of Limitations
  29 June 2017
  Bloomberg BNA Securities & Capital Markets
  Andrew J. Ceresney
• FCPA Update June 2017
  Vol. 8, No. 11
  Bruce E. Yannett
  ,
  Andrew J. Ceresney
  ,
  Andrew M. Levine
  ,
  Karolos Seeger
  ,
  Erich O. Grosz
  ,
  Kara Brockmeyer
  ,
  David A. O'Neil
  ,
  Jane Shvets
  ,
  Philip Rohlik
• Accounting & Financial Reporting Enforcement Round-Up
  Issue 2, June 2017
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Arian M. June
  ,
  Mark D. Flinn
• What Kokesh V. SEC Means For Enforcement Actions
  8 June 2017
  Law 360
  Mary Jo White
  ,
  Andrew J. Ceresney
• U.S. Supreme Court Holds SEC Disgorgement Is a Penalty Subject to a Five-Year Statute of Limitations
  7 June 2017
  Mary Jo White
  ,
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Robert B. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Julie M. Riewe
  ,
  Ada Fernandez Johnson
  ,
  Anna Moody
• FCPA Update May 2017
  Vol. 8, No. 10
  Bruce E. Yannett
  ,
  Andrew M. Levine
  ,
  Jane Shvets
  ,
  Philip Rohlik
  ,
  Andrew J. Ceresney
  ,
  Karolos Seeger
  ,
  David A. O'Neil
  ,
  Erich O. Grosz
• Individual Accountability: Not Always Accomplished Through Enforcement
  19 May 2017
  New York Law Journal
  Mary Jo White
  ,
  Andrew J. Ceresney
• FCPA Update April 2017
  Vol. 8, No. 9
  Bruce E. Yannett
  ,
  Andrew J. Ceresney
  ,
  Karolos Seeger
  ,
  Andrew M. Levine
  ,
  David A. O'Neil
  ,
  Erich O. Grosz
  ,
  Philip Rohlik
  ,
  Jane Shvets
  ,
  Michael W. Gramer
• Financial CHOICE Act 2.0: Implications for the SEC and Capital Markets
  25 April 2017
  Mary Jo White
  ,
  Andrew J. Ceresney
  ,
  Julie M. Riewe
  ,
  Paul M. Rodel
  ,
  Jonathan R. Tuttle
  ,
  Mark D. Flinn
• Accounting & Financial Reporting Enforcement Round-Up
  Issue 1, April 2017
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Arian M. June
  ,
  Mark D. Flinn
• Ninth Circuit Widens Split Over Application of Dodd-Frank’s Whistleblower Protections
  13 March 2017
  Andrew J. Ceresney
  ,
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
  ,
  Arian M. June
  ,
  Mark D. Flinn