October 17, 2014

VIDEO: Deborah Birnbach Discusses Recent SEC Enforcement of Section 16 Filing Obligations

In this episode of The Boardroom Video Series, Goodwin partner Deborah Birnbach discusses the SEC’s recent and aggressive action regarding the failure to file stock trades. Background, current action, impact and avoidance are all covered in a straightforward and understandable presentation.

Topics covered include:

  • Filing your company trades with the SEC
  • The SEC is starting to aggressively pursue
  • The targets are directors, officers, the company and major shareholders.
  • Penalties are not covered by D&O insurance and indemnification
  • Compliance can be easily accomplished.

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