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1
Tenth Circuit Affirms Extraterritorial Reach Of SEC Enforcement Of The Federal Securities Laws
In the Traffic Monsoon litigation, the U.S. Court of Appeals for the Tenth Circuit held that the enforcement provisions of the Securities Act and the Exchange Act reach Traffic Monsoon's sales
United States
16 May 2019
2
Blockchain In Energy: Recent SEC Guidance On Tokenization
On Wednesday, April 3, the U.S. Securities and Exchange Commission published much anticipated guidance regarding blockchain and initial coin offerings.
United States
30 Apr 2019
3
Teva Putative Federal Securities Class Member Seeks To Toll Statute Of Repose With Motion To Intervene
The United States District Court of the District of Connecticut will soon decide whether a putative class member may intervene "for the limited purpose of tolling the statute of repose."
United States
21 Mar 2019
4
Petition For Certiorari Asks Supreme Court To Clarify Whether The Federal Securities Laws Carry A Duty To Update
Last week, executives of the now-defunct biotechnology company, Orexigen, filed a petition for certiorari with the U.S. Supreme Court ...
United States
20 Feb 2019
5
Delaware Chancery Court Holds Corporations Cannot Enact Federal Forum Provisions To Bypass Cyan And Preclude State Courts From Hearing Securities Act Claims
In 2017, courts across this country were split on whether plaintiffs could assert a class action alleging claims under the Securities Act of 1933 (which provides a private right of action
United States
21 Jan 2019
6
Court Allows Volkswagen Bondholder Action To Proceed, But Expresses Doubts About The Plaintiff's Ability To Certify A Class
As we previously noted in this post, the United States District Court for the Northern District of California dismissed the Volkswagen Bondholder Plaintiff's first amended complaint ...
United States
10 Dec 2018
7
U.S. District Court Holds That Certain Claims By Opt-Out Plaintiffs Are Barred By The Statute Of Repose
In a recent ruling in In re: BP p.l.c. Securities Litigation the United States District Court for the Southern District of Texas dismissed claims asserted by opt-out plaintiffs as time barred by the Exchange Act's statute ...
United States
12 Oct 2018
8
Court Allows Volkswagen Bondholder Action To Proceed, But Expresses Doubts About The Plaintiff's Ability To Certify A Class
As we previously noted in this post, the United States District Court for the Northern District of California dismissed the Volkswagen Bondholder Plaintiff's first amended complaint, with leave to amend, ...
United States
4 Oct 2018
9
In Khoja, The Ninth Circuit Limits Defendants' Ability To Argue Facts In A Motion To Dismiss
In Khoja v. Orexigen Therapeutics, Inc., the Ninth Circuit clarified the "rare circumstances" when a court may review documents extraneous to the pleadings in ruling on a motion to dismiss.
United States
20 Sep 2018
10
SEC Amends Definition Of "Smaller Reporting Companies" (SRCs) To Increase The Number Of Companies That Qualify For Scaled Disclosures
The SEC has voted to amend the definition of the term "smaller reporting company" as used in its rules and regulations.
United States
21 Aug 2018
11
Ninth Circuit Holds Transactions In Unsponsored Adrs Can Be "Domestic" Under Morrison
The Toshiba Securities Litigation stems from alleged violations of the Exchange Act, as well as the Financial Instruments and Exchange Act of Japan, against Toshiba Corp. ...
United States
21 Aug 2018
12
Volkswagen Bondholders Reliance Allegations Come Under Scrutiny
This case stems from alleged misstatement made by Volkswagen Group of America Finance ("VWGoAF") in an Offering Memorandum governing the issuance of three sets of bonds.
United States
29 May 2018
13
Issuers Face Changing Litigation Landscape, Challenges Due To Supreme Court Ruling
The Court's decision ends a long-standing split between federal district courts over the interpretation of the jurisdictional provisions of the SLUSA.
United States
23 Mar 2018
14
Preparation For 2017 Fiscal Year-End SEC Filings And 2018 Annual Shareholder Meetings
As our clients and friends know, each year Mintz Levin provides an analysis of the regulatory developments that impact public companies as they prepare for their fiscal year-end filings with the SEC and their annual...
United States
1 Mar 2018
15
SCOTUS: Whistleblowers Who Complain Only Internally To Employers Are Not Protected By Dodd-Frank
On Wednesday this week, all nine justices agreed that the Dodd-Frank Act's anti-retaliation provision does not extend to an individual who has not reported a violation of the securities laws...
United States
27 Feb 2018
16
Is The Defense Bar Losing The "Securities Class Action War?"
Douglas Greene, one of the United States' most well-known securities litigators – on either side of the bar – recently wrote a four-part treatise ...
United States
12 Dec 2017
17
Federal Court Grants Class Certification In The Lendingclub Case Over Objections From State Court Plaintiffs, But Denies Federal Court Plaintiff's Motion To Enjoin The State Court Case
LendingClub is facing two parallel securities litigation cases stemming from alleged false statements it made in connection with its initial public offering ("IPO").
United States
13 Nov 2017
18
TechConnect Newsletter - September 2017
Words are very powerful and the language we use often frames a discussion. For example, the term "shareholder activist" sounds like a consumer friendly person who has everyone's best interests at heart, ...
United States
10 Oct 2017
19
MSRB Addresses Selective Disclosure
On September 13, 2017, the Municipal Securities Rulemaking Board (the "MSRB") published a market advisory on selective disclosure (the "Notice").
United States
22 Sep 2017
20
Upcoming Supreme Court Cases Worth Noting By Institutional Investors
The U.S. Supreme Court‘s 2017 term begins October 2nd and we will be tracking at least three cases relevant to institutional investors
United States
20 Sep 2017
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