Publications

• 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
• Debevoise & Plimpton Special Committee Report Issue 5
  January 2023
  Andrew L. Bab
  ,
  Michael Diz
  ,
  Gregory V. Gooding
  ,
  Elliot Greenfield
  ,
  Emily F. Huang
  ,
  Jonathan E. Levitsky
  ,
  Sue Meng
  ,
  Maeve O'Connor
  ,
  William D. Regner
  ,
  Jeffrey J. Rosen
  ,
  Shannon Rose Selden
  ,
  Jonathan R. Tuttle
  ,
  Caitlin Gibson
  ,
  Erik J. Andrén
  ,
  Matthew Ryan
• 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
  ,
  James B. Amler
  ,
  Charu A. Chandrasekhar
  ,
  Stephan J. Schlegelmilch
  ,
  Bailey K. Crawford
  ,
  Mark D. Flinn
  ,
  Berk Guler
• 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
  ,
  James B. Amler
  ,
  Charu A. Chandrasekhar
  ,
  Stephan J. Schlegelmilch
  ,
  Bailey K. Crawford
  ,
  Mark D. Flinn
  ,
  Berk Guler
• Law360: Insider Trading Enforcement Against Lawmakers Is Growing
  3 November 2022
  Law360
  Jonathan R. Tuttle
  ,
  Anna Moody
  ,
  Berk Guler
• Insider Trading Disclosure Update - Vol. 8, Issue 1
  29 September 2022
  Matthew E. Kaplan
  ,
  Benjamin R. Pedersen
  ,
  Jonathan R. Tuttle
  ,
  Anna Moody
  ,
  Katherine Cappeller
  ,
  Mark D. Flinn
  ,
  Berk Guler
  ,
  Austin Poon
  ,
  Ashley Yoon
• Debevoise & Plimpton Special Committee Report Issue 4
  August 2022
  Andrew L. Bab
  ,
  Michael Diz
  ,
  Gregory V. Gooding
  ,
  Elliot Greenfield
  ,
  Emily F. Huang
  ,
  Jonathan E. Levitsky
  ,
  Sue Meng
  ,
  Maeve O'Connor
  ,
  William D. Regner
  ,
  Jeffrey J. Rosen
  ,
  Shannon Rose Selden
  ,
  Jonathan R. Tuttle
  ,
  Erik J. Andrén
• 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
• NYU Compliance & Enforcement: The SEC’s New Risk Alert Warns about the Use of Alternative Data
  3 May 2022
  NYU Compliance & Enforcement
  Andrew J. Ceresney
  ,
  Avi Gesser
  ,
  Julie M. Riewe
  ,
  Kristin A. Snyder
  ,
  Jonathan R. Tuttle
  ,
  Charu A. Chandrasekhar
  ,
  Mengyi Xu
• The SEC’s New Risk Alert Warns about the Use of Alternative Data
  2 May 2022
  Andrew J. Ceresney
  ,
  Avi Gesser
  ,
  Julie M. Riewe
  ,
  Kristin A. Snyder
  ,
  Jonathan R. Tuttle
  ,
  Charu A. Chandrasekhar
  ,
  Mengyi Xu
• 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
  ,
  Scott M. Caravello
  ,
  Stephen Petraeus
• 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
  ,
  James B. Amler
  ,
  Charu A. Chandrasekhar
  ,
  Stephan J. Schlegelmilch
  ,
  Stephen Petraeus
• Debevoise & Plimpton Special Committee Report Issue 3
  February 2022
  Andrew L. Bab
  ,
  Michael Diz
  ,
  Gregory V. Gooding
  ,
  Elliot Greenfield
  ,
  Emily F. Huang
  ,
  Jonathan E. Levitsky
  ,
  Sue Meng
  ,
  Maeve O'Connor
  ,
  William D. Regner
  ,
  Jeffrey J. Rosen
  ,
  Shannon Rose Selden
  ,
  Jonathan R. Tuttle
• Harvard Corporate Governance Blog: SEC’s Transition in Enforcement Priorities
  22 December 2021
  Harvard Corporate Governance Blog
  Mary Jo White
  ,
  Andrew J. Ceresney
  ,
  Jonathan R. Tuttle
• SEC Proposes Major Amendments to Share Repurchase Disclosures
  17 December 2021
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Steven J. Slutzky
  ,
  Jonathan R. Tuttle
  ,
  Charu A. Chandrasekhar
• SEC Proposes Significant Amendments Regarding 10b5-1 Trading Plans and Augmented Trading-Related Disclosure Requirements
  16 December 2021
  Andrew J. Ceresney
  ,
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Nicholas P. Pellicani
  ,
  Steven J. Slutzky
  ,
  Jonathan R. Tuttle
  ,
  Charu A. Chandrasekhar
• 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
  ,
  James B. Amler
  ,
  Charu A. Chandrasekhar
  ,
  Stephan J. Schlegelmilch
  ,
  Scott M. Caravello
  ,
  Mark D. Flinn
• Debevoise & Plimpton Special Committee Report Issue 2
  September 2021
  Andrew L. Bab
  ,
  Michael Diz
  ,
  Gregory V. Gooding
  ,
  Elliot Greenfield
  ,
  Emily F. Huang
  ,
  Jonathan E. Levitsky
  ,
  Sue Meng
  ,
  Maeve O'Connor
  ,
  William D. Regner
  ,
  Jeffrey J. Rosen
  ,
  Shannon Rose Selden
  ,
  Jonathan R. Tuttle
• 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
  ,
  James B. Amler
• 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
• Introducing the Debevoise & Plimpton Special Committee Report
  7 April 2021
  Michael Diz
  ,
  Gregory V. Gooding
  ,
  Jonathan E. Levitsky
  ,
  Maeve O'Connor
  ,
  William D. Regner
  ,
  Jeffrey J. Rosen
  ,
  Jonathan R. Tuttle
  ,
  Emily F. Huang
• SEC Sues AT&T and Three Executives for Selective Disclosures to Analysts
  9 March 2021
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
• 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
  ,
  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
• 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
• 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
  ,
  Philip Rohlik
  ,
  Tingting Wu
• Insider Trading Disclosure Update - Vol. 7, Issue 1
  25 November 2020
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Morgan J. Hayes
  ,
  Steven J. Slutzky
  ,
  Mark D. Flinn
  ,
  Benjamin R. Pedersen
• 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
  ,
  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
  ,
  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
• 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
• 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
• Bloomberg Tax: Key Accounting and Financial Reporting Risks Arising From the Covid-19 Pandemic
  26 July 2020
  Bloomberg Tax
  Mark D. Flinn
  ,
  Jonathan R. Tuttle
• 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
  ,
  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
• Bloomberg Tax: INSIGHT: Key Accounting and Financial Reporting Risks Arising From the Covid-19 Pandemic
  26 June 2020
  Bloomberg Tax
  Jonathan R. Tuttle
  ,
  Mark D. Flinn
• 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
• 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
• Thinking About a New or Updated Non-GAAP Financial Measure for COVID-19? Look Before You Leap.
  17 April 2020
  Kara Brockmeyer
  ,
  Matthew E. Kaplan
  ,
  Jonathan F. Lewis
  ,
  Paul M. Rodel
  ,
  Jeffrey E. Ross
  ,
  Sunil William Savkar
  ,
  Jonathan R. Tuttle
• COVID-19 and Private Equity: Portfolio Company and Fund Governance Practices in the Time of COVID
  8 April 2020
  Robert B. Kaplan
  ,
  M. Natasha Labovitz
  ,
  Sidney P. Levinson
  ,
  Julie M. Riewe
  ,
  Shannon Rose Selden
  ,
  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
• 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
• Delaware Supreme Court Upholds Federal-Forum Provisions for Securities Act Claims
  20 March 2020
  Matthew E. Kaplan
  ,
  Peter J. Loughran
  ,
  Maeve O'Connor
  ,
  William D. Regner
  ,
  Jonathan R. Tuttle
  ,
  Elliot Greenfield
  ,
  Michael W. Gramer
• 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
  ,
  Norma Angelica Freeland
• 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
• Insider Trading Disclosure Update - Vol. 6, Issue 1
  13 December 2019
  Morgan J. Hayes
  ,
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Julie M. Riewe
  ,
  Steven J. Slutzky
  ,
  Mark D. Flinn
  ,
  Benjamin R. Pedersen
• 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
  ,
  James B. Amler
• 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
• Delaware Court of Chancery Sustains Failure to Monitor Caremark Claim
  22 October 2019
  Mark P. Goodman
  ,
  Maura Kathleen Monaghan
  ,
  Jonathan R. Tuttle
  ,
  Paul D. Rubin
  ,
  Jacob W. Stahl
• 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
  ,
  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
  ,
  Melissa Runsten
• 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
• FCPA Update May 2019
  30 May 2019
  Kara Brockmeyer
  ,
  Andrew M. Levine
  ,
  Karolos Seeger
  ,
  Jane Shvets
  ,
  Jonathan R. Tuttle
  ,
  Philip Rohlik
  ,
  Alma M. Mozetič
• 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
• 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
• 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
• Insider Trading & Disclosure Update - Volume 5, Issue 1
  28 February 2019
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Morgan J. Hayes
  ,
  Steven J. Slutzky
  ,
  Mark D. Flinn
  ,
  Benjamin R. Pedersen
• 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
• 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
  ,
  Norma Angelica Freeland
• U.S. Supreme Court to Review Private Right of Action in Cash Tender Offer
  8 January 2019
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Maeve O'Connor
• 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
  ,
  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
  ,
  Arian M. June
  ,
  Katherine L. Christopher
• 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
  ,
  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
• Insider Trading & Disclosure Update - Vol. 4, Issue 1
  October 2018
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Morgan J. Hayes
  ,
  Steven J. Slutzky
  ,
  Mark D. Flinn
  ,
  Benjamin R. Pedersen
• SEC Sues Hedge Fund Adviser For Alleged Short-and-Distort Scheme
  25 September 2018
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
• 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
• 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
• FCPA Update March 2018
  Vol. 9, No. 8
  Paul R. Berger
  ,
  Kara Brockmeyer
  ,
  Andrew M. Levine
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
  ,
  Erich O. Grosz
  ,
  Philip Rohlik
• 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
• 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
  ,
  Norma Angelica Freeland
• 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
• 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
• 4th Circ. Deals Blow To Securities Fraud Plaintiffs
  13 December 2017
  Law360
  Colby A. Smith
  ,
  Jonathan R. Tuttle
• 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
• U.S. Supreme Court Strictly Interprets Three-Year Time Limit for Filing Section 11 Claims
  28 June 2017
  Maeve O'Connor
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
• 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
• 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
  ,
  Anna Moody
• 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
  ,
  Arian M. June
  ,
  Mark D. Flinn
• Advisers Beware! OCIE Announces Most Frequent Compliance Topics
  9 February 2017
  Jonathan Adler
  ,
  Andrew M. Ahern
  ,
  Kenneth J. Berman
  ,
  Sally Gibson
  ,
  Robert B. Kaplan
  ,
  Geoffrey Kittredge
  ,
  Andrew M. Ostrognai
  ,
  Julie M. Riewe
  ,
  David J. Schwartz
  ,
  Rebecca F. Silberstein
  ,
  Jonathan R. Tuttle
  ,
  Michael P. Harrell
• 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
• SEC Enforcement Action Puts Spotlight on Segment Reporting
  14 December 2016
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Jonathan R. Tuttle
• Failure to Comply with Internal Corporate Processes and Policies May Violate Exchange Act Accounting Provisions
  7 December 2016
  Paul R. Berger
  ,
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
• Supreme Court’s Holding in Salman v. United States Leaves Many Important Questions Unanswered
  7 December 2016
  Paul R. Berger
  ,
  Matthew E. Fishbein
  ,
  Matthew E. Kaplan
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
• The Outlook for Financial Regulatory Reform Under President Trump
  30 November 2016
  Kenneth J. Berman
  ,
  Lawrence K. Cagney
  ,
  Matthew E. Kaplan
  ,
  Satish M. Kini
  ,
  Gregory J. Lyons
  ,
  Elizabeth Pagel Serebransky
  ,
  Julie M. Riewe
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
  ,
  Jonathan R. Tuttle
• The SEC’s Robare Decision: Potential Financial Conflicts of Interest are Per Se Material and Must Be Disclosed
  11 November 2016
  Kenneth J. Berman
  ,
  Robert B. Kaplan
  ,
  Jonathan R. Tuttle
• Assistant Attorney General Caldwell’s Q&A Regarding FCPA Enforcement
  4 November 2016
  FCPA Professor
  Jonathan R. Tuttle
• SEC Exams Focus on Whistleblower Compliance by Investment Advisers and Brokers
  26 October 2016
  Kenneth J. Berman
  ,
  Jyotin Hamid
  ,
  Michael P. Harrell
  ,
  Mary Beth Hogan
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
• SEC Brings First Stand-Alone Anti-Retaliation Enforcement Action Under Dodd-Frank
  4 October 2016
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Jonathan R. Tuttle
  ,
  Mark D. Flinn
• SEC Complaint Serves as Reminder to Carefully Consider Disclosure Obligations Relating to Government Investigations
  23 September 2016
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Jonathan R. Tuttle
• Insider Trading & Disclosure Update - Vol. 3, Issue 1
  August 2016
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Morgan J. Hayes
  ,
  Steven J. Slutzky
  ,
  Mark D. Flinn
  ,
  Benjamin R. Pedersen
  ,
  Bruce E. Yannett
  ,
  Colby A. Smith
  ,
  Julie M. Riewe
  ,
  Paul R. Berger
  ,
  Robert B. Kaplan
• D.C. Circuit Upholds Constitutionality of SEC’s In-House Courts
  12 August 2016
  Paul R. Berger
  ,
  Matthew E. Kaplan
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
• SEC Brings Action Against Employer for Agreements Requiring Employees to Waive Recovery if They Blow the Whistle
  11 August 2016
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Jonathan R. Tuttle
• Eleventh Circuit Halts Parallel Federal Litigation Against the SEC’s In-House Judges
  27 June 2016
  Paul R. Berger
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
• Another Message to Private Fund Sponsors on Broker Registration – This Time from Enforcement
  6 June 2016
  Kenneth J. Berman
  ,
  Michael P. Harrell
  ,
  Robert B. Kaplan
  ,
  Andrew M. Ostrognai
  ,
  Jonathan R. Tuttle
  ,
  Julie Stem
• Eleventh Circuit Holds that SEC Claims for Disgorgement and Declaratory Relief are Subject to Five-Year Limitations Period
  3 June 2016
  Paul R. Berger
  ,
  Robert B. Kaplan
  ,
  Andrew M. Levine
  ,
  Julie M. Riewe
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
• SEC Enforcement Actions Getting Up Close And Personal
  1 July 2016 (Vol. 17, No.1)
  Journal of Investment Compliance
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Jonathan R. Tuttle
• Debevoise Publishes Spring 2016 Edition of UK, US and Hong Kong Banking Litigation, Regulatory and Competition Law Update
  April 2016
  Lord Goldsmith KC
  ,
  Karolos Seeger
  ,
  Christopher Boyne
  ,
  Robert Maddox
  ,
  Paul R. Berger
  ,
  Helen V. Cantwell
  ,
  Courtney M. Dankworth
  ,
  Eric Dinallo
  ,
  Mary Beth Hogan
  ,
  Robert B. Kaplan
  ,
  David A. O'Neil
  ,
  Jim Pastore
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
  ,
  Mark Johnson
  ,
  Philip Rohlik
  ,
  Emily Lam
  ,
  Timothy McIver
  ,
  Anne-Mette Heemsoth
• Recent Decisions Create Further Uncertainty on Question of Whether Internal Reporting Triggers Dodd-Frank Whistleblower Anti-Retaliation Protection
  20 January 2016
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Jonathan R. Tuttle
• Two Decisions Highlight Significant Litigation Challenges for Prosecutors and Regulators
  17 December 2015
  Paul R. Berger
  ,
  Robert B. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
• Insider Trading & Disclosure Update - Vol. 2, Issue 2
  December 2015
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Morgan J. Hayes
  ,
  Steven J. Slutzky
• SEC Settles Action Concerning Adequacy of Policies to Prevent Dissemination of Material Nonpublic Information
  2 December 2015
  Paul R. Berger
  ,
  Kenneth J. Berman
  ,
  Matthew E. Kaplan
  ,
  Robert B. Kaplan
  ,
  Jonathan R. Tuttle
• SEC Enforcement Actions Getting Up Close and Personal
  23 September 2015
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Jonathan R. Tuttle
• The “Yates Memorandum”: Has DOJ Really Changed Its Approach To White Collar Criminal Investigations and Individual Prosecutions?
  15 September 2015
  Helen V. Cantwell
  ,
  Matthew E. Fishbein
  ,
  Bruce E. Yannett
  ,
  David A. O'Neil
  ,
  Paul R. Berger
  ,
  Courtney M. Dankworth
  ,
  Eric Dinallo
  ,
  Mark P. Goodman
  ,
  Mary Beth Hogan
  ,
  Robert B. Kaplan
  ,
  Satish M. Kini
  ,
  Andrew M. Levine
  ,
  Michael B. Mukasey
  ,
  Jim Pastore
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Erich O. Grosz
  ,
  David Sarratt
• Second Circuit Creates Circuit Split on the Question of Whether Internal Reporting Triggers Whistleblower Anti-Retaliation Protection Under Dodd-Frank
  11 September 2015
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Jonathan R. Tuttle
• Debevoise Publishes UK, U.S. and Hong Kong Banking Litigation, Regulatory and Competition Law Update
  3 August 2015
  Mark Johnson
  ,
  Courtney M. Dankworth
  ,
  David A. O'Neil
  ,
  Tony Dymond
  ,
  Lord Goldsmith KC
  ,
  Christopher Boyne
  ,
  Helen V. Cantwell
  ,
  Eric Dinallo
  ,
  Mary Beth Hogan
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
  ,
  Karolos Seeger
  ,
  Robert Maddox
  ,
  Timothy McIver
  ,
  Anne-Mette Heemsoth
• SEC Brings First-of-Its-Kind Action for Confidentiality Agreement that Discourages Whistleblowing
  6 April 2015
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Jonathan R. Tuttle
• SEC Brings First-of-Its-Kind Enforcement Action for Agreement that Interferes with Whistleblowing
  April 2015
  FCPA Update - Vol. 6, No. 9
  Mary Beth Hogan
  ,
  Jyotin Hamid
  ,
  Jonathan R. Tuttle
• In Omnicare, the Supreme Court Clarifies When Statements of Opinion Are Actionable Under Section 11 of the Securities Act
  26 March 2015
  Matthew E. Kaplan
  ,
  Gary W. Kubek
  ,
  Peter J. Loughran
  ,
  Maeve O'Connor
  ,
  Alan H. Paley
  ,
  Jonathan R. Tuttle
  ,
  Colby A. Smith
  ,
  Bruce E. Yannett
  ,
  Elliot Greenfield
• Dropped Herbalife Insider Case Leaves Questions Unanswered
  27 February 2015
  Law360
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Morgan J. Hayes
• Allergan Fuels Tension Over Schedule 13D Disclosure
  23 February 2015
  Law360
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
• Citigroup Fallout And SEC’s Strategic Resource Allocations
  17 February 2015
  Law360
  Jonathan R. Tuttle
• Insider Trading & Disclosure Update - Vol. 2, Issue 1
  January 2015
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Morgan J. Hayes
  ,
  Steven J. Slutzky
• Second Circuit Speaks On Source Of Duty For Insider Trading And Scope Of Disgorgement Remedy
  January 2015
  Financial Fraud Law Report
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
• Third Circuit Affirms Enforceability of Pre-Dispute Arbitration Agreements for Whistleblower Claims Under Dodd-Frank
  17 December 2014
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Jonathan R. Tuttle
• Second Circuit Restores Teeth to Insider Trading Personal Benefit Requirement
  11 December 2014
  Paul R. Berger
  ,
  Helen V. Cantwell
  ,
  Eric Dinallo
  ,
  Matthew E. Fishbein
  ,
  Mark P. Goodman
  ,
  Matthew E. Kaplan
  ,
  Robert B. Kaplan
  ,
  Andrew M. Levine
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
• DOJ Proposal Shows Focus on Individuals in Corporate Crime
  30 September 2014
  Law360
  Helen V. Cantwell
  ,
  Matthew E. Fishbein
  ,
  Mark P. Goodman
  ,
  Mary Beth Hogan
  ,
  Andrew M. Levine
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
  ,
  Kristin D. Kiehn
  ,
  David Sarratt
  ,
  Jacob W. Stahl
• Important Lessons Come in Small Packages: SEC Focus on MD&A Trends and Uncertainties Disclosure
  26 September 2014
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Jonathan R. Tuttle
  ,
  Morgan J. Hayes
• Provocative DOJ Proposal Aims to Hold Financial Services Executives Criminally Liable, Even Absent Criminal Intent
  22 September 2014
  Bruce E. Yannett
  ,
  Mary Beth Hogan
  ,
  Helen V. Cantwell
  ,
  Matthew E. Fishbein
  ,
  Mark P. Goodman
  ,
  Andrew M. Levine
  ,
  Jonathan R. Tuttle
  ,
  Kristin D. Kiehn
  ,
  Jacob W. Stahl
• Inside 2nd Circ Ruling on Overseas Whistleblower
  21 August 2014
  Law360
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Jonathan R. Tuttle
• Second Circuit Holds Whistleblower Anti-Retaliation Provision Does Not Apply Extraterritorially
  19 August 2014
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Jonathan R. Tuttle
• Heads of SEC Whistleblower Office and FCPA Unit Warn against Interference with Potential Whistleblowers
  June 2014
  Financial Fraud Law Dept
  Paul R. Berger
  ,
  Andrew M. Levine
  ,
  Jonathan R. Tuttle
• Insider Trading & Disclosure Update - Vol. 1, No. 1
  July 2014
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Morgan J. Hayes
  ,
  Steven J. Slutzky
• D.C. Circuit Upholds Privilege Protections in Compliance Investigations
  3 July 2014
  Helen V. Cantwell
  ,
  Mary Beth Hogan
  ,
  Andrew M. Levine
  ,
  Bruce E. Yannett
  ,
  Paul R. Berger
  ,
  Jonathan R. Tuttle
• FCPA Update
  June 2014, Vol. 5, No. 11
  Paul R. Berger
  ,
  Andrew M. Levine
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
  ,
  Karolos Seeger
• Supreme Court Upholds “Fraud on the Market” Presumption But Allows Evidence of Lack of Price Impact at the Class Certification Stage
  24 June 2014
  Gary W. Kubek
  ,
  Maeve O'Connor
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
  ,
  Elliot Greenfield
• SEC Brings First Anti-Retaliation Enforcement Action under Dodd-Frank
  19 June 2014
  Jyotin Hamid
  ,
  Jonathan R. Tuttle
• Second Circuit Defers to SEC in Overturning District Court’s Rejection of Settlement with “Neither Admit or Deny” Language
  5 June 2014
  Andrew M. Levine
  ,
  Bruce E. Yannett
  ,
  Paul R. Berger
  ,
  Robert B. Kaplan
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  David Sarratt
• Second Circuit Further Limits Securities Claims Based on the Purchase of Foreign Securities
  8 May 2014
  Gary W. Kubek
  ,
  Maeve O'Connor
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
• SEC Warns Against Interference with Potential Whistleblowers
  6 May 2014
  Kenneth J. Berman
  ,
  Jonathan R. Tuttle
  ,
  Jyotin Hamid
  ,
  Michael P. Harrell
  ,
  Mary Beth Hogan
• FCPA Update
  April 2014, Vol. 5, No. 9
  Andrew M. Levine
  ,
  Paul R. Berger
  ,
  Jonathan R. Tuttle
• Head of SEC Whistleblower Office Warns against Interference with Potential Whistleblowers
  24 April 2014
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Jonathan R. Tuttle
• SEC Focuses on “Gatekeepers” in Recent Enforcement Actions
  23 April 2014
  Alan H. Paley
  ,
  Jonathan R. Tuttle
• Supreme Court Gives SOX Whistleblower Provision Expansive Reading
  7 March 2014
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Jonathan R. Tuttle
• The SEC’s Examination Priorities for 2014
  28 January 2014
  Kenneth J. Berman
  ,
  Michael P. Harrell
  ,
  Robert B. Kaplan
  ,
  Jonathan R. Tuttle
• A Touch of Solace for Broker-Dealer Compliance Personnel
  7 November 2013
  Law360
  Paul R. Berger
  ,
  Kenneth J. Berman
  ,
  Jonathan R. Tuttle
  ,
  Robert B. Kaplan
• Debevoise & Plimpton Discusses SEC’s Guidance on Supervisory Liability for a Broker-Dealer’s Compliance and Legal Personnel
  5 November 2013
  The Columbia Law School Blue Sky Blog
  Paul R. Berger
  ,
  Kenneth J. Berman
  ,
  Jonathan R. Tuttle
• SDNY Holds Anti-Retaliation Provision of Dodd-Frank Does Not Apply Extraterritorially
  24 October 2013
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
• Guidance (and a Touch of Solace) for Compliance and Legal Personnel on Potential Supervisory Liability
  21 October 2013
  Paul R. Berger
  ,
  Kenneth J. Berman
  ,
  Robert B. Kaplan
  ,
  Jonathan R. Tuttle
• Circuit Court Adopts Narrow Interpretation of Anti-Retaliation Provision of Dodd-Frank Whistleblower Rules
  October 2013
  Financial Fraud Law Report
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Jonathan R. Tuttle
• When the SEC Knocks on Your Door, Will You Be Prepared?: Practical Steps PE Firms Should Take to Prepare for an SEC “Presence” Examination
  Winter 2013, Vol 13, Number 2
  Kenneth J. Berman
  ,
  Robert B. Kaplan
  ,
  Michael P. Harrell
  ,
  Jonathan R. Tuttle
• The Vilar Decision: Second Circuit Curtails the Territorial Reach of Criminal Liability under Section 10(b)
  October 2013
  Wall Street Lawyer
  Paul R. Berger
  ,
  Matthew E. Kaplan
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
• Regulation FD: Recent Charges Underscore Importance of Compliance Culture
  10 September 2013
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Jonathan R. Tuttle
• Second Circuit Curtails the Territorial Reach of Criminal Liability under Section 10(b)
  6 September 2013
  Paul R. Berger
  ,
  Matthew E. Kaplan
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
• Circuit Court Adopts Narrow Interpretation of Anti-Retaliation Provision of Dodd-Frank Whistleblower Rules
  19 July 2013
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Jonathan R. Tuttle
• SEC Enforcement Action Targets Advisers to Private Equity Funds
  15 March 2013
  Paul R. Berger
  ,
  Kenneth J. Berman
  ,
  Jonathan R. Tuttle
  ,
  Eric Dinallo
  ,
  Mark P. Goodman
  ,
  Michael P. Harrell
  ,
  Shannon Rose Selden
• The Private Equity Report
  Winter 2013
  Jonathan F. Lewis
  ,
  E. Drew Dutton
  ,
  David Innes
  ,
  Andrew M. Ostrognai
  ,
  Eric Dinallo
  ,
  Kenneth J. Berman
  ,
  Robert B. Kaplan
  ,
  Michael P. Harrell
  ,
  Jonathan R. Tuttle
  ,
  Kevin M. Schmidt
  ,
  Michael Schaper
  ,
  Peter F.G. Schuur
  ,
  Adele M. Karig
  ,
  Matthew D. Saronson
• SEC 2013 Examination Priorities Focus on Private Fund Sponsors
  5 March 2013
  Eric Dinallo
  ,
  Kenneth J. Berman
  ,
  Michael P. Harrell
  ,
  Robert B. Kaplan
  ,
  Shannon Rose Selden
  ,
  Jonathan R. Tuttle
• Supreme Court Rejects Application of the Discovery Rule to Penalty Actions Brought under 28 U.S.C. 2462
  28 February 2013
  Paul R. Berger
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Robert B. Kaplan
  ,
  Bruce E. Yannett
• Court Finds FCPA's "Interstate Commerce" Requirement Satisfied by Foreign Emails That Touched U.S. Servers
  11 February 2013
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
  ,
  Erich O. Grosz
• A Good Way to Level the Playing Field in SEC Civil Actions
  8 January 2013
  Law360
  Jonathan R. Tuttle
• Fund Directors Charged in Recent SEC Enforcement Case Targeting Valuation
  14 December 2012
  Paul R. Berger
  ,
  Jonathan R. Tuttle
  ,
  Eric Dinallo
  ,
  Mark P. Goodman
  ,
  Shannon Rose Selden
• Blogs, Facebooking and Tweeting: Public Enough for Regulation FD?
  12 December 2012
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Andrew G. Jamieson
• Insider Trading Plans in Spotlight Again
  3 December 2012
  Jonathan R. Tuttle
  ,
  Matthew E. Kaplan
• U.S. Enforcement Agencies Issue Extensive New FCPA Guidance
  15 November 2012
  Bruce E. Yannett
  ,
  Mark P. Goodman
  ,
  Andrew M. Levine
  ,
  Erich O. Grosz
  ,
  Paul R. Berger
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Philip Rohlik
• Dodd-Frank Whistleblower Provision And Court's Broad Interpretation
  27 October 2012
  The Harvard Law School Forum on Corporate Governance and Financial Regulation
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  John S. Kiernan
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
• Court's Broad Interpretation of Dodd-Frank Whistleblower Provision Could Prompt More Employee Claims
  2 October 2012
  Jonathan R. Tuttle
  ,
  Colby A. Smith
  ,
  Mary Beth Hogan
  ,
  Jyotin Hamid
• Court Finds No Duty To Disclose Wells Notices
  September 2012
  INSIGHTS: The Corporate & Securities Law Advisor
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
• Second Circuit Signals Support for the SEC’s Use of ‘Neither Admit Nor Deny’ Language in Consent Settlements
  September 2012
  Financial Fraud Law Report
  Paul R. Berger
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
• Duty To Disclose SEC Wells Notices Rejected By Judge
  31 July 2012
  The Harvard Law School Forum on Corporate Governance and Financial Regulation
  Paul R. Berger
  ,
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
• Dodd-Frank Whistleblower Issues In Leshinsky And Asadi
  25 July 2012
  Law360
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Jonathan R. Tuttle
• SEC 'Obey-the-Law' Injunctions Held Invalid
  23 July 2012
  The Harvard Law School Forum on Corporate Governance and Financial Regulation
  Paul R. Berger
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
• Dodd-Frank’s New Whistleblower Protections: Guidance on Extraterritoriality and Retroactivity
  17 July 2012
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Jonathan R. Tuttle
• Southern District of New York Judge Rejects Claims Alleging a Duty to Disclose SEC Wells Notices
  3 July 2012
  Paul R. Berger
  ,
  Colby A. Smith
  ,
  Alan H. Paley
  ,
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
• The Eleventh Circuit Casts Doubts On 'Obey The Law' Injunctions
  July 2012
  INSIGHTS
  Paul R. Berger
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
• FCPA Update
  June 2012, Vol.3, No.11
  Paul R. Berger
  ,
  Bruce E. Yannett
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Karolos Seeger
• SEC 'Obey-The-Law' Injunctions Held Invalid
  22 June 2012
  FCPA Professor blog
  Paul R. Berger
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
• SEC “Obey-The-Law” Injunctions Held Invalid
  8 June 2012
  Paul R. Berger
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
• FCPA Update
  March 2012, Vol. 3, No. 8
  Bruce E. Yannett
  ,
  Paul R. Berger
  ,
  Jonathan R. Tuttle
  ,
  Karolos Seeger
• Second Circuit Signals Support for the SEC’s Use of “Neither Admit Nor Deny” Language in Consent Settlements
  16 March 2012
  Paul R. Berger
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
• Absolute Activist: The Second Circuit Clarifies the Territorial Limits of Section 10(B) in Private Lawsuits
  2 March 2012
  Paul R. Berger
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Alan Kartashkin
  ,
  John B. Missing
• SEC Changes Policy on Settlement Language; “Neither Admit Nor Deny” Approach Narrowed
  9 January 2012
  Paul R. Berger
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
• The SEC Sharpens Its Talons in No-Fault Clawback Actions
  23 November 2011
  The Review of Securities & Commodities Regulation
  Jonathan R. Tuttle
• Judge Mukasey Testifies before Congress in Support of FCPA Reform
  21 June 2011
  Michael B. Mukasey
  ,
  Bruce E. Yannett
  ,
  Paul R. Berger
  ,
  Jonathan R. Tuttle
• SEC Issues Final Rules Implementing New Whistleblower Program
  27 May 2011
  Paul R. Berger
  ,
  Matthew E. Kaplan
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
• U.S. Securities and Exchange Commission Launches Probe of Financial Institution Dealings with Sovereign Wealth Funds
  18 January 2011
  Paul R. Berger
  ,
  Bruce E. Yannett
  ,
  Eric Dinallo
  ,
  Mark P. Goodman
  ,
  Jonathan R. Tuttle
• Specific Corporate Compliance Challenges by Practice Area: Securities
  2011
  LexisNexis Corporate Compliance Practice Guide: The Next Generation of Compliance § 37
  Paul R. Berger
  ,
  Jonathan R. Tuttle
• FCPA Update
  November 2010, Vol. 2, No. 4
  Paul R. Berger
  ,
  Bruce E. Yannett
  ,
  Jonathan R. Tuttle
  ,
  Colby A. Smith
• U.S. Attorney’s Office for the Southern District of New York and U.S. Securities and Exchange Commission Investigate Massive Insider Trading Ring
  22 November 2010
  Mark P. Goodman
  ,
  Anne E. Cohen
  ,
  Helen V. Cantwell
  ,
  Jonathan R. Tuttle
• Still Cookin' in Dallas—Fifth Circuit Reverses Dismissal of Insider Trading Charges against Mark Cuban
  27 September 2010
  Paul R. Berger
  ,
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
• U.S. Supreme Court Restricts Foreign Investors’ Access to U.S. Securities Laws in Morrison v. National Australia Bank, Ltd. – Will Congress Reinstate It?
  28 June 2010
  Colby A. Smith
  ,
  Jonathan R. Tuttle
• The SEC's Enforcement Cooperation Initiatives
  24 June 2010
  American Bar Association Section of Litigation
  Paul R. Berger
  ,
  Jonathan R. Tuttle
• Director’s Failure to Investigate “Red Flags” Prompts SEC Enforcement Action That Should Serve as Warning to All Outside Directors
  24 May 2010
  Colby A. Smith
  ,
  Paul R. Berger
  ,
  Jonathan R. Tuttle
  ,
  John B. Missing
• The SEC's Enforcement Cooperation Initiatives
  17 February 2010
  Paul R. Berger
  ,
  Jonathan R. Tuttle
• Applying Dismissals of Hurricane-Related Class Actions to the Subprime Mortgage Cases
  Fall 2009
  ABA Securities Litigation Journal
  Jonathan R. Tuttle
• What's Cookin' in Dallas? Cuban and the SEC
  24 August 2009
  Appellate Law360 and Securities Law360
  Matthew E. Kaplan
  ,
  Paul R. Berger
  ,
  Jonathan R. Tuttle
• SEC Enforcement Director Robert Khuzami Outlines Changes to Enforcement Division Foreshadowing Increased Enforcement Activity in Coming Months
  11 August 2009
  Bruce E. Yannett
  ,
  Paul R. Berger
  ,
  Jonathan R. Tuttle
• UK Serious Fraud Office Releases Guidelines on Self-Reporting of Overseas Corruption
  10 August 2009
  Lord Goldsmith KC
  ,
  Karolos Seeger
  ,
  Bruce E. Yannett
  ,
  Paul R. Berger
  ,
  Jonathan R. Tuttle
  ,
  Frederick T. Davis
• UK Serious Fraud Office Releases Guidelines on Self-Reporting of Overseas Corruption
  August 2009
  Euro Watch
  Lord Goldsmith KC
  ,
  Paul R. Berger
  ,
  Frederick T. Davis
  ,
  Bruce E. Yannett
  ,
  Jonathan R. Tuttle
  ,
  Karolos Seeger
• What’s Cookin’ in Dallas? Court Dismisses Insider Trading Charges against Mark Cuban
  4 August 2009
  Paul R. Berger
  ,
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
• The EU Rating Agency Regulation
  4 June 2009
  Jonathan R. Tuttle
  ,
  Paul R. Berger
  ,
  Bruce E. Yannett
• Fraud Enforcement and Recovery Act Toughens Financial Fraud Laws and Promises More Rigorous Enforcement
  21 May 2009
  Colby A. Smith
  ,
  Bruce E. Yannett
  ,
  Jonathan R. Tuttle
• What’s Next for the SEC?
  23 February 2009
  Paul R. Berger
  ,
  Kenneth J. Berman
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  John B. Missing
• Defeating Securities Class-Action Litigation Arising from ‘Perfect Storms:’ Applying Dismissals of Hurricane-Related Class-Actions to the Subprime Mortgage Cases
  2009
  American Conference Institute, Advanced Forum on Securities Litigation 2009
  Jonathan R. Tuttle
• The Private Equity Report
  Winter 2008
  Franci J. Blassberg
  ,
  Kevin Rinker
  ,
  Michael Diz
  ,
  Alan J. Davies
  ,
  James A. Kiernan III
  ,
  E. Drew Dutton
  ,
  Peter J. Loughran
  ,
  Margaret Andrews Davenport
  ,
  Jonathan R. Tuttle
  ,
  Nicholas F. Potter