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The Corporate CounselorLJN NewslettersNewsSections

Companies May Avoid Regulation FD Enforcement Proceedings

By James J. Junewicz

Regulation FD generally requires public companies to publicly disclose material nonpublic information that has been selectively disclosed to members of the investment community. The SEC indicated in a recent litigation release that a company may avoid an SEC enforcement proceeding for a Regulation FD violation by a key employee, even when the SEC commences a proceeding against the employee responsible for the violation. See SEC Files Settled Regulation FD Charges Against Former Chief Financial Officer, Litigation Release No. 21222 (Sept. 24, 2009), available at www.Nv.sec.gov/litigation/litreleases/2009/lr21222.htm.

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