Cooperating With the SEC
Recent enforcement proceedings clarify when the commission is likely to forgo prosecution, explains Jared Kopel.
Securities
Cooperating With the SEC
STOCK Act Is Superfluous
Legislation in the works to control use of political intelligence in investments adds little to current enforcement options, says James Ching.
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Securities Litigation Trending UP
M&A activity, investigations of foreign corporations and increased number of SEC actions create a litigious environment, explain Orrick attorneys.
'Janus' Confusion
The U.S. Supreme Court's attempt to create a bright-line test for primary liability resulted in numerous conflicting opinions from lower courts, explains Jared Kopel of Wilson Sonsini.
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Developing Secondary Markets
With thousands of employees holding stock in privately owned companies, platforms to trade or sell that stock are emerging, explains Steven Kaufhold of Kaufhold Gaskin.
SEC's War on Insider Trading
The commission has increased the number of prosecutions, often employing novel theories of liability, says Jared L. Kopel of Wilson Sonsini.
Recent Holding Invites Derivative Suits
Federal court's refusal to dismiss a shareholder action following a negative say-on-pay vote may result in more of same, explains Jared L. Kopel of Wilson Sonsini.
Exemption Rules Change for Investment Advisers
Dodd-Frank removes certain registration exemptions, but creates others, complicating the process for financial consultants, explain Wickersham & Murphy attorneys.
Dodd-Frank Endangers Trade Secrets
Whistleblower retaliation rules may complicate protection of sensitive information for employers, explain Thad Davis and Veronica Alegria of Ropes & Gray.
Further Examining the New Dodd-Frank Rules
The SEC's whistleblower provisions encourage affected companies to revamp their compliance and internal reporting standards, explains Jared L. Kopel of Wilson Sonsini.
New Dodd-Frank Rules Made Easy
The recently adopted whistleblower provisions set forth in detail who can make a report and the type of information rewarded, explains Jared Kopel of Wilson Sonsini.
State Law Insider Trading Claims See New Light
In a recent decision, the Delaware Supreme Court re-established the validity of Brophy causes of action, explain Robbins Umeda attorneys.
Dealing With Tipsters Under Dodd-Frank
New whistleblower rules will require companies to examine and restructure their internal compliance programs, explain Gibson, Dunn attorneys.
SEC Leader Signals Revised Rules
The commission is considering new regulations governing capital formation for smaller companies via crowdfunding, social and other new media, explain Sheppard, Mullin attorneys.
No Bright-Line Rule for Materiality
The Supreme Court held that, in securities litigation, whether a statement is material is determined by its substance and context, explain Morrison & Foerster attorneys.
Once an Agent, Now a Lobbyist
New regulations impose strict requirements on individuals serving as intermediaries between money managers and retirement systems, explain Ropes & Gray attorneys.
Regulations Needed for Healthy Market
Supreme Court decisions in line with the Paulson Committee report will promote securities fraud and not increase competitiveness, says Blair Nicholas of Bernstein Litowitz.
Tracking Changes in FCPA
Last year saw a rise in anti-corruption enforcement and changes in leadership, signaling a likelihood of greater governmental scrutiny, explains Bethany Hengsbach.
Retaining Control Post-IPO
Companies going public, but unwilling to relinquish control to common stockholders, can create dual-class stock structures to maintain voting power, explain Latham & Watkins attorneys.
Reviving Competition
In recent securities decisions, the U.S. Supreme Court has taken the lead in preserving competitiveness of domestic capital markets, explains Orrick's Justin Lichterman.
A Guide to Poison Pills
Stockholder rights plans are becoming more prevalent in light of changes in the coporate arena, explain Sheppard, Mullin attorneys.
Bounty Hunting Under Dodd-Frank
Hedge funds should take special note of new SEC regulations on whistleblower incentives, say Ropes & Gray attorneys.
Dodd-Frank Beefs Up SEC Enforcement
Covington's David Bayless highlights key provisions that expand the agency's authority over public companies and other entities.
PCAOB Unconstitutional, So What?
By Keith Bishop |
7/21/10 4:55 PM
Despite strking down parts of Sarbanes-Oxley, the Supreme Court left accounting and corporate regulations intact, says Keith Bishop.
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