Michael Oxley, former U.S. Congressman, past chairman of the House Committee on Financial Services, and co-author of the Sarbanes-Oxley Act (SOX), presented the keynote address. Mr. Oxley discusses SOX’s origin and evolution — leading eventually to the inclusion of Section 404 — as well as its positive and negative consequences to national and international markets.
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SEC’s Focus on Whistleblower Protection Practices Continues
On September 9, 2024, the U.S. Securities and Exchange Commission announced that it settled charges against seven public companies for alleged violations of Securities Exchange Act Rule 21F-17.
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Cybersecurity in the Age of Industry 4.0 – Part 2
This is the second article in our two-part series on Cybersecurity in the Age of Industry 4.0, focusing on the legal implications and potential liabilities manufacturers face from cyberattacks, as well as practical recommendations to mitigate these risks.
19 September 2024
Viewpoints
FINRA In-House Disciplinary Proceedings Survive Post-Jarkesy Challenge … For Now
On September 4, 2024, the United States District Court for the Eastern District of Pennsylvania denied D. Allen Blankenship’s challenge to enjoin the Financial Industry Regulatory Authority’s disciplinary action against him.