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Past Event
21 October 2010


  • Joseph De Simone
    T +1 212 506 2559
  • Marcia E. Goodman
    T +1 312 701 7953

The Dodd-Frank Act's Impact on Securities Litigation and Enforcement - New York

US government enforcement of securities and securities-related laws is becoming increasingly aggressive. The Dodd-Frank Wall Street Reform and Consumer Protection Act established a significantly enhanced whistleblower regime, with increased employment protections and substantial financial bounties for whistleblowers. The Act also added procedural and substantive provisions that impact securities litigation and enforcement and give the Securities and Enforcement Commission additional tools to enforce the securities laws.

Please join us as we discuss the impact of these provisions, the changes in law and the possible steps companies should contemplate in light of the law including:

  • Significant changes in bringing and proving "aiding and abetting" violations in SEC actions
  • The power of the SEC to impose monetary penalties in "cease and desist" proceedings
  • Increased burden of the SEC to fully investigate matters by newly established deadlines
  • Extra-territorial jurisdiction of the SEC
  • Bounty provisions/whistleblowers - how the provisions affect companies before and during litigation
  • Compliance - best practices

Anthony M. Alexis
Joseph De Simone
Hector Gonzalez
Marcia E. Goodman
John J. Tharp, Jr.

This presentation will take place in two locations:

Locations, Dates & Times
Thursday, October 21, 2010
Mayer Brown LLP
1675 Broadway
New York, NY
8:00 a.m. - 8:30 a.m. Registration & Breakfast
8:30 a.m. - 10:30 a.m. Program

Tuesday, October 26, 2010
Mayer Brown LLP
71 S. Wacker Drive
Chicago, IL
8:00 a.m. - 8:30 a.m. Registration & Breakfast
8:30 a.m. - 10:30 a.m. Program

CLE and ethics credits are pending.

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