transcript   Transcript

Disgorgements by Corporate Executives Under the Federal Securities Laws

Recorded on: Jul. 18, 2017
Running Time: 00:59:30

Full Transcript:



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Taken from the Web Program Understanding the Securities Laws 2017 recorded July, 2017 in New York.

Disgorgements by Corporate Executives Under the Federal Securities Laws [00:59:30]
  • Section 16 reporting and liability – “short-swing” profit rules
  • Implications of delinquent filings
  • Sarbanes-Oxley and Dodd-Frank “clawback” provisions—where do things stand today?
  • Regulation BTR
  • Litigation and SEC enforcement actions

The purchase price of this segment includes the following article from the Course Handbook available online:

  • “Section 16 Insiders—Reporting and Liability”—Overview of Section 16 of the Exchange Act
    Jennifer L. Nadborny
  • Simpson Thacher, Memorandum, SEC Proposes Executive Compensation Clawback Rule (July 23, 2015)
    Jennifer L. Nadborny
  • Simpson Thacher, Memorandum, SEC Charges Computer Sciences Corporation and Its Former Executives With Accounting Fraud, Invoking Sarbanes-Oxley’s Clawback Provision (July 6, 2015)
    Jennifer L. Nadborny
  • Simpson Thacher, Memorandum, SEC Charges Eight Insiders For Failing to Update Stock Ownership Disclosures (April 3, 2015)
    Jennifer L. Nadborny
  • Simpson Thacher, Memorandum, SEC Files Sarbanes-Oxley Clawback Action Against Two Former CFOs (March 3, 2015)
    Jennifer L. Nadborny
  • Simpson Thacher, Memorandum, SEC Charges 34 Insiders, Shareholders and Public Companies with Delinquencies in Reporting Stock Holdings and Trades (September 22, 2014)
    Jennifer L. Nadborny
  • Section 16, Clawbacks and Other Disgorgement Under the Federal Securities Laws (April 18, 2017)
    Lori B. Metrock

Presentation Material

  • Disgorgements by Corporate Executives Under the Federal Securities Laws
    Jennifer L. Nadborny
(s)
Jennifer L Nadborny ~ Simpson Thacher & Bartlett LLP
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