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Results: 1-10 of 29

Federal appeals court holds SEC conflict minerals rules violate free speech

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • April 15 2014

On April 14, 2014, a three-judge panel of the U.S. Court of Appeals for the District of Columbia, in an opinion authored by Senior Circuit Judge

Takeaways from Del. High Court's MFW ruling

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • March 19 2014

Law360, New York (March 18, 2014, 9:55 PM ET) -- In a significant case of first impression, the Delaware Supreme Court, in Kahn v. M&F Worldwide Corp

U.S. District Court in Atlanta rules against the SEC in an insider trading case, describing the SEC's evidence as 'overreaching' and 'self-serving'

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • January 16 2014

The U.S. Securities and Exchange Commission (SEC) lost an insider trading case last week in federal court in the Northern District of Georgia. SEC v

No broker-customer relationship absent a direct connection to investment-related services provided by the brokerage firm

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • August 14 2013

A Utah federal district court is the latest to join the chorus of opinions holding that a would-be arbitration claimant cannot proceed with a FINRA

D.C. District Court upholds SEC’s conflict minerals rules, GAO report questions effectiveness on humanitarian efforts

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • July 24 2013

On July 23, 2013, the U.S. District Court for the District of Columbia entered summary judgment in favor of the U.S. Securities and Exchange

U.S. District Court vacates SEC rule on extractive industries disclosure requirements; issuers await decision on conflict minerals rule

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • July 8 2013

Rule 13q1 under the Securities Exchange Act of 1934 (the Exchange Act), adopted by the Securities and Exchange Commission (the Commission) in August

Is the would-be arbitration claimant a brokerage firm “customer?” The Fourth Circuit says both “yes” and “no”

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • February 14 2013

It makes sense that a brokerage firm can only be forced to arbitrate claims by its customers for investment activity occurring at that brokerage firm

SEC weighs in on Intercontinental Regional Center Trust of Chicago (IRCTC)

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • February 11 2013

On Wednesday, February 6, the U.S. Securities and Exchange Comission (SEC) brought a civil action alleging a myriad of SEC violations against A

Oregon flocks to fraud on the market

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • January 23 2013

In a recent decision, State v. Marsh & McLennan Companies, Inc., 2012 WL 6212518 (Or. Dec. 13, 2012), the Oregon Supreme Court gave birth to a state

Court rules SEC cannot invoke its investigatory powers to circumvent discovery rules

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • October 11 2012

A Texas federal district court recently refused to reconsider its order imposing sanctions on the U.S. Securities and Exchange Commission (“SEC”) for conducting an “extra-judicial deposition” of a third party without providing notice to defendants in a pending civil action to which the third party’s testimony was relevant