Hands-On SEC Filings

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In this episode of The Boardroom Video Series, we are joined by Deborah Birnbach, a Litigation Partner in the Boston office of Goodwin Procter. We discuss 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.

• 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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