Searching Content indexed under Securities by Gary P Naftalis ordered by Published Date Descending.
Links to Result pages
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
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
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
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
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
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
Links to Result pages