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Searching Content indexed under Securities by Sheppard Mullin Richter & Hampton ordered by Published Date Descending.
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1
Third Circuit Holds That SLUSA Does Not Preclude Class Action Opt-Outs From Pursuing Individual Actions
In North Sound Capital, LLC v. Merck & Co, Inc., No. 18-2317, 2019 WL 4309663, 2019 U.S. App. LEXIS 27518 (3d Cir. Sept. 12, 2019), the United States Court of Appeals for the Third Circuit ...
Jersey
14 Oct 2019
2
Gauging Interest: SEC Votes To Approve Proposal to Expand "Test-the-Waters" Rules
The Securities and Exchange Commission ("SEC") announced on September 26, 2019 that it voted to adopt the application of "testing-the-waters"
United States
11 Oct 2019
3
SEC Looks To Modernize Disclosure Approach
On August 8, 2019, the SEC announced that it voted to propose rule amendments to modernize the description of business, legal proceedings, and risk factor disclosures that public companies are required to make ...
United States
24 Sep 2019
4
Fifth Circuit Affirms Enron Broker Not Liable To Employee Stock Option Holders For False Or Withheld Information
Ending a more than 15-year-long legal battle, the Fifth Circuit on May 24, 2019, unanimously affirmed the dismissal of a proposed class action against subsidiaries of UBS AG, alleging violations of U.S. securities laws...
United States
23 Aug 2019
5
Commercial Division Justices Provide Dueling Approaches To Discovery Stays In State Court Securities Litigation
In In re Everquote, Inc. Securities Litigation, 2019 N.Y. Slip Op. 29242, No. 651177/2019, 2019 WL 3686065 (Sup. Ct. N.Y. Cnty. Aug. 7, 2019),
United States
16 Aug 2019
6
New York Commercial Division Justices Provide Dueling Approaches To Discovery Stays In State Court Securities Litigation
In In re Everquote, Inc. Securities Litigation, 2019 N.Y. Slip Op. 29242, No. 651177/2019, 2019 WL 3686065 (Sup. Ct. N.Y. Cnty. Aug. 7, 2019)...
United States
16 Aug 2019
7
New Bill Seeks To Bring Clarity To Insider Trading Law
On May 7, 2019, Representative James Himes (D-Conn) introduced the "Insider Trading Prohibition Act" (H.R. 2534). The proposed legislation would amend the Securities and Exchange Act of 1934
United States
6 Aug 2019
8
SEC Issues Alert On Outsourcing And Data Security
The SEC recently issued a risk alert warning about using vendors and cloud-based platforms. Many broker dealers and investment advisors are turning to these third parties to store customer data.
United States
21 Jun 2019
9
Delaware Chancery Court Provides Useful Guidance For Protecting Pre-Merger Privileges In Post-Closing Litigation Between Buyers And Sellers
In Shareholder Representative Services LLC v. RSI Holdco, LLC, No. 2018-0517-KSJM, 2019 WL 2290916 (Del. Ch. May 29, 2019)
United States
13 Jun 2019
10
Opportunity Zones Update: New Proposed Treasury Regulations (Part II)
In December 2017, as part of the Tax Cuts and Jobs Act ("TCJA"), Congress established a new tax incentive program to promote investment in certain low-income communities
United States
5 Jun 2019
11
New Effort To Exempt Crypto Currency From Certain SEC, Tax And Other Regulatory Burdens
A new bill, the Token Taxonomy Act was introduced to congress to amend the Securities Act of 1933 and the Securities Exchange Act of 1934 to exclude digital tokens from the definition of a security,
United States
6 May 2019
12
United States Supreme Court Holds That Knowing Dissemination Of False Statements Made By Others Can Constitute Primary "Scheme Liability" In Violation Of Rule 10b-5(a) And (c)
In Lorenzo v. Securities & Exchange Comm., No. 17-1077, 2019 WL 1369839, the Supreme Court of the United States held that an individual who did not "make" a false or misleading statement within the meaning...
United States
12 Apr 2019
13
Second Circuit Holds That Issuer's Alleged Statements Concerning Its Regulatory Compliance Efforts Do Not Constitute Material Misstatements
In Singh v. Cigna Corp., No. 17-3484-cv, 2019 U.S. App. LEXIS 6637 (2d Cir. Mar. 5, 2019), the United States Court of Appeals for the Second Circuit affirmed the dismissal of a class action
United States
21 Mar 2019
14
With The SEC, Cooperation Is Key
As an expensive "slap on the wrist," the Securities and Exchange Commission ("SEC" or the "Commission") recently concluded that approximately $12.7 million worth of funds raised in a 2017
United States
19 Mar 2019
15
Ninth Circuit Holds That Statutes Do Not Constitute "Rules Or Regulations Of The SEC" For Purposes Of Sarbanes-Oxley Act Whistleblower Claims
In Wadler v. Bio-Rad Laboratories, Inc., No. 17-16193, 2019 WL 924827 (9th Cir. Feb. 26, 2019), the United States Court of Appeals for the Ninth Circuit held that statutes ...
United States
13 Mar 2019
16
Where Is The Love? Exchanges Sue SEC Over Market Access Fee Pilot Program
Three prominent trading exchanges did not exactly show their government overseer the love this Valentine's week.
United States
8 Mar 2019
17
SEC Issues New Guidance On Diversity Disclosure Requirements
On February 6, 2019, the Securities and Exchange Commission released two Compliance and Disclosure Interpretations (CDIs) discussing disclosure requirements in instances where a director or board nominee...
United States
18 Feb 2019
18
Court Finds Cybersecurity-Related Claims Sufficient In Securities Class Action
In the aftermath of Equifax's data breach, a federal court recently found that allegations of poor cybersecurity coupled with misleading statements ...
United States
12 Feb 2019
19
SEC Administrative Proceedings Against Public Companies For Failure To Remediate Material Weaknesses In Internal Control Over Financial Reporting
Public reporting companies that have material weaknesses in their ICFR are required under Rule 308 of the SEA of 1934, as amended, to report such material weaknesses in their quarterly and annual reports along with...
United States
11 Feb 2019
20
Expansion Of Regulation A To Reporting Companies: Increased Alternatives Now Available To Public Companies Seeking To Raise Capital Or For Mergers And Acquisitions
On December 19, 2018, the SEC announced that it had adopted final rules that allow reporting companies to rely on the Regulation A exemption from registration for their securities offerings.
United States
7 Feb 2019
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