Publications

• A New Era (and a Homecoming) Begins: Paul Atkins Confirmed as New SEC Chairman
  10 April 2025
  Andrew J. Ceresney
  ,
  Charu A. Chandrasekhar
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jeff Robins
  ,
  Kristin A. Snyder
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Ally Farley
  ,
  Scott Woods
• Private Equity Report: 2025 Outlook
  January 2025
  Katherine Ashton
  ,
  Megan K. Bannigan
  ,
  Dominic Blaxill
  ,
  Ezra Borut
  ,
  Geoffrey P. Burgess
  ,
  Andrew J. Ceresney
  ,
  Charu A. Chandrasekhar
  ,
  Tim Cornell
  ,
  Luke Dembosky
  ,
  Jane Engelhardt
  ,
  Andrew Ford
  ,
  Avi Gesser
  ,
  James Grimwood
  ,
  Jyotin Hamid
  ,
  Ted Hassi
  ,
  Morgan J. Hayes
  ,
  Simone S. Hicks
  ,
  Peter J. Irwin
  ,
  Eric T. Juergens
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  M. Natasha Labovitz
  ,
  Jonathan F. Lewis
  ,
  Sidney P. Levinson
  ,
  Andrew M. Levine
  ,
  Erez Liebermann
  ,
  Timothy McIver
  ,
  Frank Mitchell
  ,
  Gordon Moodie
  ,
  Edwin Northover
  ,
  Brett M. Novick
  ,
  Sheena Paul
  ,
  Benjamin R. Pedersen
  ,
  Marc Ponchione
  ,
  Ryan T. Rafferty
  ,
  William D. Regner
  ,
  Julie M. Riewe
  ,
  Paul D. Rubin
  ,
  Zachary H. Saltzman
  ,
  Michael Schaper
  ,
  Kevin M. Schmidt
  ,
  Shannon Rose Selden
  ,
  Scott B. Selinger
  ,
  Thomas Smith
  ,
  Kristin A. Snyder
  ,
  J. Michael Snypes, Jr.
  ,
  Rick Sofield
  ,
  Abraham Tabaie
  ,
  Katherine Durnan Taylor
  ,
  Ramya S. Tiller
  ,
  Jonathan R. Tuttle
  ,
  Patricia Volhard
  ,
  Erica S. Weisgerber
  ,
  Jennifer Wheater
  ,
  Mary Jo White
  ,
  Alison E. Buckley-Serfass
  ,
  Brett Adam Bush
  ,
  Zhiyan Cao
  ,
  Jennifer R. Cestaro
  ,
  Robert T. Dura
  ,
  Stuart Hammer
  ,
  Lauren P. Heller
  ,
  Jin-Hyuk Jang
  ,
  Jared I. Kagan
  ,
  Wen-Wei Lai
  ,
  Michael P. McGuigan
  ,
  Melissa Runsten
  ,
  Tricia Bozyk Sherno
  ,
  Elie J. Worenklein
  ,
  John Young
  ,
  Ulysses Smith
  ,
  Erik J. Andrén
  ,
  Lauren K. Burns
  ,
  Josephine Chen
  ,
  Perpétua B. Chéry
  ,
  Daniel N. Cohen
  ,
  Paul Eastham
  ,
  Eliza Ezrapour
  ,
  Julia Needle
  ,
  Isabelle Glimcher
  ,
  Alice Gu
  ,
  Rory Heller
  ,
  Andrew Hong
  ,
  Yiran Ji
  ,
  Emily Kennedy
  ,
  Nicole Miller
  ,
  Amy Pereira
  ,
  John M. Satira
  ,
  Adam C. Saunders
  ,
  Noah L. Schwartz
  ,
  Alfie Scott
  ,
  Sheng Shao
  ,
  John Sullivan Baker
• Top 10 SEC Cyber/AI Blog Posts for 2024
  12 December 2024
  Andrew J. Ceresney
  ,
  Charu A. Chandrasekhar
  ,
  Luke Dembosky
  ,
  Avi Gesser
  ,
  Eric T. Juergens
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Erez Liebermann
  ,
  Sheena Paul
  ,
  Benjamin R. Pedersen
  ,
  Marc Ponchione
  ,
  Julie M. Riewe
  ,
  Jeff Robins
  ,
  Paul M. Rodel
  ,
  Kristin A. Snyder
  ,
  Jonathan R. Tuttle
  ,
  Philip A. Fortino
  ,
  Matt Kelly
  ,
  Anna Moody
  ,
  Stephan J. Schlegelmilch
  ,
  Johanna N. Skrzypczyk
  ,
  Suchita Mandavilli Brundage
  ,
  Kelly Donoghue
  ,
  Andreas A. Glimenakis
  ,
  Alice Gu
  ,
  John Jacob
  ,
  Gabriel A. Kohan
  ,
  Talia Lorch
  ,
  Ciera Mandelsberg
  ,
  Noah L. Schwartz
  ,
  Ned Terrace
  ,
  Mengyi Xu
• SEC Enforcement Actions Fall Significantly As Crypto and Text Message Cases Predominate
  25 November 2024
  Andrew J. Ceresney
  ,
  Charu A. Chandrasekhar
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Kristin A. Snyder
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Mark D. Flinn
  ,
  Philip A. Fortino
  ,
  Anna Moody
  ,
  Stephan J. Schlegelmilch
  ,
  Lauren K. Burns
  ,
  John Sullivan Baker
• 2025 SEC Division of Examinations Priorities
  24 October 2024
  Andrew J. Ceresney
  ,
  Charu A. Chandrasekhar
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Sheena Paul
  ,
  Marc Ponchione
  ,
  Julie M. Riewe
  ,
  Jeff Robins
  ,
  Kristin A. Snyder
  ,
  Jonathan R. Tuttle
  ,
  Philip A. Fortino
  ,
  Lauren P. Heller
  ,
  Anna Moody
  ,
  Stephan J. Schlegelmilch
  ,
  Ciera Mandelsberg
• SEC Announces Settled Charges Against Rimar Capital Entities and Owner for Defrauding Investors in “AI Washing” Scheme
  11 October 2024
  Andrew J. Ceresney
  ,
  Charu A. Chandrasekhar
  ,
  Avi Gesser
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Benjamin R. Pedersen
  ,
  Julie M. Riewe
  ,
  Kristin A. Snyder
  ,
  Jonathan R. Tuttle
  ,
  Mark D. Flinn
  ,
  Matt Kelly
  ,
  Anna Moody
  ,
  Sofia Squatriti Muno
  ,
  Cameron B. Wolfe
• Recent Settled Actions Reiterate SEC’s Broad Interpretation of
  Rule 21F-17(a) Whistleblower Impediments
  23 September 2024
  Andrew J. Ceresney
  ,
  Charu A. Chandrasekhar
  ,
  Jyotin Hamid
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Jonathan F. Lewis
  ,
  Julie M. Riewe
  ,
  Kristin A. Snyder
  ,
  Jonathan R. Tuttle
  ,
  Tricia Bozyk Sherno
  ,
  Sharon Shaji
• GIR Americas Investigations Review: Cooperating with US Government Investigations – The Risks and Rewards
  15 August 2024
  GIR Americas Investigations Review
  Arian M. June
  ,
  Winston M. Paes
  ,
  Douglas S. Zolkind
• DOJ Launches Program Offering Financial Awards to White-Collar Whistleblowers
  5 August 2024
  Helen V. Cantwell
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Andrew M. Levine
  ,
  David A. O'Neil
  ,
  Winston M. Paes
  ,
  Jane Shvets
  ,
  Mary Jo White
  ,
  Bruce E. Yannett
  ,
  Douglas S. Zolkind
  ,
  Philip Rohlik
• 2024 Private Equity Midyear Outlook
  August 2024
  Christopher Anthony
  ,
  Katherine Ashton
  ,
  Dominic Blaxill
  ,
  Ezra Borut
  ,
  Geoffrey P. Burgess
  ,
  Andrew J. Ceresney
  ,
  Christopher Dortschy
  ,
  Jane Engelhardt
  ,
  Andrew Ford
  ,
  Mark P. Goodman
  ,
  Jyotin Hamid
  ,
  Morgan J. Hayes
  ,
  Peter J. Irwin
  ,
  Eric T. Juergens
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  M. Natasha Labovitz
  ,
  Andrew M. Levine
  ,
  Sidney P. Levinson
  ,
  Jonathan F. Lewis
  ,
  Gregory J. Lyons
  ,
  Timothy McIver
  ,
  Frank Mitchell
  ,
  Maura Kathleen Monaghan
  ,
  Edwin Northover
  ,
  Brett M. Novick
  ,
  Sheena Paul
  ,
  Marc Ponchione
  ,
  Ryan T. Rafferty
  ,
  Julie M. Riewe
  ,
  Paul D. Rubin
  ,
  Scott B. Selinger
  ,
  Thomas Smith
  ,
  Kristin A. Snyder
  ,
  Rick Sofield
  ,
  Katherine Durnan Taylor
  ,
  Ramya S. Tiller
  ,
  Jonathan R. Tuttle
  ,
  Patricia Volhard
  ,
  Erica S. Weisgerber
  ,
  Jennifer Wheater
  ,
  Naomi Aoyama
  ,
  Alison E. Buckley-Serfass
  ,
  Brett Adam Bush
  ,
  Zhiyan Cao
  ,
  Jennifer R. Cestaro
  ,
  Robert T. Dura
  ,
  Paul Eastham
  ,
  Stuart Hammer
  ,
  Lauren P. Heller
  ,
  Jin-Hyuk Jang
  ,
  Wen-Wei Lai
  ,
  Michael P. McGuigan
  ,
  Melissa Runsten
  ,
  Tricia Bozyk Sherno
  ,
  Jacob W. Stahl
  ,
  John Young
  ,
  Ulysses Smith
  ,
  Kayleigh Anderson
  ,
  Hymie A. Anteby
  ,
  Jabari Benjamin
  ,
  Charles Cartiglia
  ,
  Josephine Chen
  ,
  Jordan Corrente Beck
  ,
  Tejas N. Dave
  ,
  Julia Needle
  ,
  Michael C. Godbe
  ,
  Zoe Jacoby
  ,
  Yiran Ji
  ,
  Adriana Kranjac Rielly
  ,
  Paul D. Lowry
  ,
  Kaitlyn McGill
  ,
  Diana Moise
  ,
  Amy Pereira
  ,
  John M. Satira
  ,
  Eike Björn Weidner
  ,
  Keith Moshe
• Supreme Court Punches SEC APs Right in the Seventh Amendment
  28 June 2024
  Andrew J. Ceresney
  ,
  Charu A. Chandrasekhar
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Kristin A. Snyder
  ,
  Jonathan R. Tuttle
  ,
  Philip A. Fortino
  ,
  Anna Moody
  ,
  Stephan J. Schlegelmilch
  ,
  Mark D. Flinn
  ,
  Suzanne Zakaria
• Preparing for AI Whistleblowers
  25 April 2024
  Charu A. Chandrasekhar
  ,
  Avi Gesser
  ,
  Arian M. June
  ,
  Cooper Yoo
  ,
  Sharon Shaji
• FCPA Update March 2024
  1 April 2024
  Helen V. Cantwell
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  David A. O'Neil
  ,
  Karolos Seeger
  ,
  Jane Shvets
  ,
  Mary Jo White
  ,
  Douglas S. Zolkind
  ,
  Erich O. Grosz
  ,
  Andrew H.W. Lee
  ,
  Sophie Michalski
• Complying with New York’s Recently Adopted Employee Privacy Law
  28 March 2024
  Helen V. Cantwell
  ,
  Charu A. Chandrasekhar
  ,
  Jyotin Hamid
  ,
  Arian M. June
  ,
  Tricia Bozyk Sherno
  ,
  Johanna N. Skrzypczyk
• AI Enforcement Starts with Washing: The SEC Charges its First AI Fraud Cases
  19 March 2024
  Andrew J. Ceresney
  ,
  Charu A. Chandrasekhar
  ,
  Avi Gesser
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jeff Robins
  ,
  Kristin A. Snyder
  ,
  Jonathan R. Tuttle
  ,
  Philip A. Fortino
  ,
  Matt Kelly
  ,
  Anna Moody
  ,
  Stephan J. Schlegelmilch
  ,
  Gabriel A. Kohan
• DOJ Announces Whistleblower Rewards Pilot Program
  8 March 2024
  Helen V. Cantwell
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  David A. O'Neil
  ,
  Jane Shvets
  ,
  Mary Jo White
  ,
  Douglas S. Zolkind
  ,
  Erich O. Grosz
• SEC Brings Whistleblower Action Over Retail Client Agreements
  25 January 2024
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Charu A. Chandrasekhar
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Kristin A. Snyder
  ,
  Jonathan R. Tuttle
  ,
  Philip A. Fortino
  ,
  Anna Moody
  ,
  Stephan J. Schlegelmilch
  ,
  Cooper Yoo
• SEC’s Division of Enforcement Year-End Results Reflect Continuing Aggressive Approach to Enforcement and Remedies
  20 November 2023
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Charu A. Chandrasekhar
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Kristin A. Snyder
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Philip A. Fortino
  ,
  Anna Moody
  ,
  Stephan J. Schlegelmilch
  ,
  Mark D. Flinn
• 2024 SEC Division of Examinations Priorities
  23 October 2023
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Charu A. Chandrasekhar
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Kristin A. Snyder
  ,
  Jonathan R. Tuttle
  ,
  Philip A. Fortino
  ,
  Anna Moody
  ,
  Stephan J. Schlegelmilch
  ,
  Scott Woods
• NYU Compliance & Enforcement: Seven Steps to Mitigate Hazing Risks
  9 October 2023
  NYU Compliance & Enforcement
  Helen V. Cantwell
  ,
  Mary Beth Hogan
  ,
  Arian M. June
  ,
  Daniel Alford
  ,
  Omid Golmohammadi
• Seven Steps to Mitigate Hazing Risks
  26 September 2023
  Helen V. Cantwell
  ,
  Mary Beth Hogan
  ,
  Arian M. June
  ,
  Daniel Alford
  ,
  Omid Golmohammadi
• GIR Americas Investigations Review: Key Considerations in US Government Investigations
  31 August 2023
  GIR Americas Investigations Review
  Arian M. June
  ,
  Winston M. Paes
  ,
  Douglas S. Zolkind
• SEC and CFTC Continue Targeting Off-Channel Communications at Financial Institutions
  10 August 2023
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Charu A. Chandrasekhar
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Andrew M. Levine
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Kristin A. Snyder
  ,
  Philip A. Fortino
  ,
  Stephan J. Schlegelmilch
  ,
  Alexa Busser Lopez
• SEC Adopts Rules to Prohibit Fraud in Security-Based Swaps and Exertion of Undue Influence Over SBS CCOs, and Reopens Comment Period for Large SBS Position Reporting
  29 June 2023
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jeff Robins
  ,
  Kristin A. Snyder
  ,
  Jonathan R. Tuttle
  ,
  Charu A. Chandrasekhar
  ,
  Philip A. Fortino
  ,
  Stephan J. Schlegelmilch
• NYU Compliance & Enforcement: The Supreme Court’s Upcoming Affirmative Action Decision: Potential Implications for Private-Sector Employers
  1 June 2023
  NYU Compliance & Enforcement
  Jyotin Hamid
  ,
  Simone S. Hicks
  ,
  Mary Beth Hogan
  ,
  Arian M. June
  ,
  Tricia Bozyk Sherno
• The Supreme Court’s Upcoming Affirmative Action Decision: Potential Implications for Private-Sector Employers
  22 May 2023
  Jyotin Hamid
  ,
  Simone S. Hicks
  ,
  Mary Beth Hogan
  ,
  Arian M. June
  ,
  Tricia Bozyk Sherno
• SEC Staff Bulletin Provides Detailed Guidance for Broker-Dealers and Investment Advisers on the Care Obligations to Retail Investors
  3 May 2023
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Marc Ponchione
  ,
  Julie M. Riewe
  ,
  Jeff Robins
  ,
  Kristin A. Snyder
  ,
  Jonathan R. Tuttle
  ,
  Charu A. Chandrasekhar
  ,
  Philip A. Fortino
  ,
  Sheena Paul
  ,
  Stephan J. Schlegelmilch
  ,
  Maryam Kanna
• 2023 SEC Division of Examinations Priorities
  14 February 2023
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Marc Ponchione
  ,
  Julie M. Riewe
  ,
  Jeff Robins
  ,
  Kristin A. Snyder
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Charu A. Chandrasekhar
  ,
  Philip A. Fortino
  ,
  Sheena Paul
  ,
  Stephan J. Schlegelmilch
  ,
  Maryam Kanna
• FCPA Update November 2022
  2 December 2022
  Kara Brockmeyer
  ,
  Andrew M. Levine
  ,
  Philip Rohlik
  ,
  Joseph Ptomey
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Kristin A. Snyder
  ,
  Jonathan R. Tuttle
  ,
  Charu A. Chandrasekhar
  ,
  Stephan J. Schlegelmilch
  ,
  Bailey K. Crawford
  ,
  Mark D. Flinn
• New York’s Adult Survivors Act to Take Effect on November 24, 2022
  22 November 2022
  Helen V. Cantwell
  ,
  Mark P. Goodman
  ,
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Arian M. June
  ,
  Tricia Bozyk Sherno
• SEC’s Division of Enforcement Year-End Results Provide Insight into Record-Breaking Year in Monetary Sanctions, Novel Actions, and Evolving Enforcement Agenda
  21 November 2022
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Kristin A. Snyder
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Charu A. Chandrasekhar
  ,
  Stephan J. Schlegelmilch
  ,
  Bailey K. Crawford
  ,
  Mark D. Flinn
• GIR Americas Investigations Review: Key Considerations in US Government Investigations
  15 September 2022
  GIR Americas Investigations Review
  Arian M. June
  ,
  Winston M. Paes
  ,
  Douglas S. Zolkind
• SEC Continues Focus on Lack of Whistleblower Carve Outs in Company Confidentiality Agreements
  30 June 2022
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Kristin A. Snyder
  ,
  Jonathan R. Tuttle
  ,
  Charu A. Chandrasekhar
  ,
  Stephan J. Schlegelmilch
  ,
  Mark D. Flinn
• Lessons from the Recent Enforcement Action Highlighting the SEC’s Broad Interpretation of Whistleblower-Related Rules
  20 April 2022
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Kristin A. Snyder
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Charu A. Chandrasekhar
  ,
  Stephan J. Schlegelmilch
• 2022 SEC Division of Examinations Priorities
  6 April 2022
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Marc Ponchione
  ,
  Julie M. Riewe
  ,
  Jeff Robins
  ,
  Kristin A. Snyder
  ,
  Jonathan R. Tuttle
  ,
  Charu A. Chandrasekhar
  ,
  Stephan J. Schlegelmilch
• SEC’s Division of Enforcement Year-End Results Announcement Reflects Transition in Enforcement Priorities and Chair Gensler’s Enforcement Agenda
  29 November 2021
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Charu A. Chandrasekhar
  ,
  Stephan J. Schlegelmilch
  ,
  Mark D. Flinn
• GIR Americas Investigations Review: Key Considerations in US Government Investigations
  18 October 2021
  GIR Americas Investigations Review
  Arian M. June
  ,
  Winston M. Paes
  ,
  Douglas S. Zolkind
• 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
• 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
• 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
• 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
  ,
  Charu A. Chandrasekhar
• 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
• Second Circuit Set To Revisit Insider Trading Decision Post-Bridgegate
  19 January 2021
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Charu A. Chandrasekhar
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
• 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
• 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
  ,
  Mark D. Flinn
• 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
• 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
  ,
  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
  ,
  Mark D. Flinn
• SEC Eases Auditor Independence Requirements
  23 October 2020
  Kara Brockmeyer
  ,
  Morgan J. Hayes
  ,
  Arian M. June
  ,
  Marc Ponchione
  ,
  Paul M. Rodel
• 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
• Law360: 5 Ways To Mitigate Whistleblower Risk During COVID-19
  8 July 2020
  Law360
  Arian M. June
  ,
  Andrew J. Ceresney
  ,
  Suzanne Zakaria
• 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
  ,
  Valerie A. Zuckerman
• 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
  ,
  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
• SEC Proposes Updates to Auditor Independence Requirements
  7 January 2020
  Arian M. June
  ,
  Matthew E. Kaplan
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
  ,
  Jonathan R. Tuttle
• SEC Annual Report on Whistleblowers Shows Tips Received Leveling Off
  20 November 2019
  Arian M. June
  ,
  Jonathan R. Tuttle
• 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
• Law360: What US Cos. Should Know About EU Whistleblower Reform
  6 November 2019
  Law360
  Arian M. June
• 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
• Big Law Business: Updated DOJ Guidance Should Spark Whistleblower Compliance Check Up
  27 August 2019
  Big Law Business
  Arian M. June
• SEC Whistleblower Program Turns Eight— Thousands of Tips, Trending Up
  20 December 2018
  Bloomberg Law
  Arian M. June
• 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
  ,
  Arian M. June
• 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
  ,
  Arian M. June
• 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
• 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
  ,
  Arian M. June
• 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
• 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
• 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
• 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
  ,
  Arian M. June
  ,
  Mark D. Flinn
• SEC Brings Two Enforcement Actions Against Employers for Taking Steps to Impede Whistleblower Activity
  20 January 2017
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Arian M. June
  ,
  Mark D. Flinn
• Whistleblowers to remain prominent fixtures in securities regulation (co-author)
  20 December 2016
  The Hill
  Arian M. June
• Four Key Sec Whistleblower Trends—And How Companies Can Prepare for Them (co-author)
  September 2016
  The Review of Securities & Commodities Regulation
  Arian M. June
• SEC Settlements Put Severance Agreements Under Increased Scrutiny (co-author)
  September 2016
  Bloomberg BNA Securities Regulation & Law Report
  Arian M. June
• Four Things Companies Should Know About the SEC's 2015 Whistleblower Report (co-author)
  21 December 2015
  Bloomberg BNA Securities Regulation & Law Report
  Arian M. June
• Understanding the Global Reach of U.S. Whistleblower Anti-Retaliation Protections (co-author)
  14 July 2014
  Bloomberg BNA World Securities Law Report
  Arian M. June
• Attorneys Caught in the Ethical Crosshairs: Secretkeepers as Bounty Hunters Under the SEC Whistleblower Rules (co-author)
  14 April 2014
  Bloomberg BNA Securities Regulation & Law Report
  Arian M. June
• Don't Tread on Whistleblowers: Mitigating and Managing Retaliation Risks—Part II (co-author)
  27 January 2014
  Bloomberg BNA Securities Regulation & Law Report
  Arian M. June
• Don't Tread on Whistleblowers: Mitigating and Managing Retaliation Risks (co-author)
  13 January 2014
  Bloomberg BNA Securities Regulation & Law Report
  Arian M. June
• Trends in Insider Trading Investigations Part II: How to Navigate Expert Networks
  9 December 2013
  Bloomberg BNA Securities Regulation & Law Report
  Arian M. June
• Trends in Insider Trading Investigations Part I: How to Navigate Political Intelligence
  4 November 2013
  Bloomberg BNA Securities Regulation & Law Report
  Arian M. June
• Expected Renewed SEC Emphasis on Accounting Fraud
  4 October 2013
  Law360
  Arian M. June
• Dispatches From the Whistleblower Front: Five Common Pitfalls For Companies to Avoid (co-author)
  22 July 2013
  Bloomberg BNA Securities Regulation & Law Report
  Arian M. June
• Year Three of the SEC Whistleblower Program: Will It Turbocharge SEC Enforcement? (co-author)
  13 May 2013
  Bloomberg BNA Securities Regulation & Law Report
  Arian M. June
• Preparing for the Deluge: How to Respond When Employees Speak Up and Report Possible Compliance Violations (co-author)
  7 May 2012
  Bloomberg BNA Securities Regulation & Law Report
  Arian M. June
• Get Ahead of the Bus or Be Hit by the Bus: Practical Strategies for Meeting the Challenges and Mitigating the Risks of the Dodd-Frank Whistleblower Program (co-author)
  12 March 2012
  Bloomberg BNA Securities Regulation & Law Report
  Arian M. June
• CFTC and SEC Whistleblower Bounties: Largely Similar But Important Differences Remain
  2012
  Journal of Investment Compliance
  Arian M. June
• SEC Whistleblower Bounties: 10 Things Companies Can Do Right Now To Stay Ahead
  September 2011
  Market Solutions
  Arian M. June