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Searching Content by Gary P Naftalis from Kramer Levin Naftalis & Frankel LLP ordered by Published Date Descending.
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DOJ Criminal Division Releases Updated Guidance For Evaluation Of Corporate Compliance Programs
On April 30, 2019, Brian A. Benczkowski, the assistant attorney general for the Criminal Division of the United States Department of Justice ...
United States
28 May 2019
2
The Supreme Court Broadens Liability For False Statements Under Rule 10b-5 To "Disseminators"
The decision will likely have a more significant impact in private civil actions rather than in enforcement cases brought by the SEC.
United States
15 Apr 2019
3
Supreme Court To Resolve Recent Circuit Split Over Whether Section 14(e) Of The Exchange Act Requires Proof Of Scienter
On Jan. 4, 2019, the Supreme Court granted certiorari in Emulex Corporation, et al., v. Varjabedian, a case teeing up the question ...
United States
18 Jan 2019
4
DOJ Announces More Lenient Corporate Cooperation Policy
In a speech delivered on Thursday, Nov. 29, 2018, Deputy Attorney General Rod Rosenstein described important changes to DOJ policies for awarding cooperation credit ...
United States
6 Dec 2018
5
Supreme Court Rules The SEC's Procedure For Appointing Administrative Law Judges Violates The Constitution's Appointments Clause
On June 21, 2018, the Supreme Court in Raymond J. Lucia, et al. v. SEC,1 held that the SEC's administrative law judges are "Officers of the United States" whose appointment must comport...
United States
9 Jul 2018
6
DOJ Criminal Division Announces FCPA Corporate Enforcement Policy Provides Nonbinding Guidance For All Criminal Cases
On March 1, 2018, John P. Cronan, the acting head of the Department of Justice's Criminal Division, and Benjamin Singer, Chief of the Fraud Section's Securities and Financial Fraud Unit ...
United States
12 Mar 2018
7
Supreme Court To Determine State Court Jurisdiction Of Class Actions Under Securities Act Of 1933
On June 27, the Supreme Court granted certiorari in Cyan Inc. et al. v. Beaver County Employees Retirement Fund et al., agreeing to weigh in on whether state courts have jurisdiction to hear...
United States
25 Jul 2017
8
In Split 5-to-5 Decision, En Banc D.C. Circuit Denies Petition For Review In Lucia v. SEC
On June 26, 2017, the D.C. Circuit, en banc, split 5-to-5 on whether to grant a petition seeking to overturn an August 2016 ruling by a three-judge panel of the D.C. Circuit...
United States
10 Jul 2017
9
Venue, Forum Selection And Transfer
Litigation partner Gary P. Naftalis and counsel Michael S. Oberman co-authored a chapter in the fourth edition of the treatise "Business and Commercial Litigation in Federal Courts," .
United States
8 Mar 2017
10
Tenth Circuit Decision Creates Split As To Constitutionality Of SEC's Administrative Law Judge Appointment Procedure
The Lucia panel considered this limitation dispositive, establishing in the court's view that ALJs are mere employees, not inferior officers subject to the Appointments Clause.
United States
12 Jan 2017
11
SEC Approves Amendments To Rules Of Practice, Making Welcome But Incremental Changes To Enforcement Procedures
On July 13, the Securities and Exchange Commission approved the adoption of amendments to the Rules of Practice that govern its administrative proceedings.
United States
22 Jul 2016
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