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Results: 1-10 of 24,820

District Court rejects constitutional challenge to SEC administrative proceedings

  • Proskauer Rose LLP
  • -
  • USA
  • -
  • December 18 2014

We recently wrote that critics, including Judge Jed Rakoff, have been questioning the SEC's policy of increasingly bringing enforcement actions in

SEC proposes amendments revising Section 12(g) thresholds as required by the JOBS Act

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • December 18 2014

The SEC proposed rules for comment that address the JOBS Act mandate to revise the thresholds for registration, termination of registration, and

Financial services report winter 2014

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • December 18 2014

The election is over, but we are still reeling from the aftermath of the November shock. We’re talking of course about North Korean Supreme Leader

Bringing the individual accredited investor into the 21st century

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • December 18 2014

On December 17, 2014, the SEC’s Advisory Committee on Small and Emerging Companies (the “Committee”) held its first meeting in over a year

Oregon Pub. Employees Ret. Fund v. Apollo Grp. Inc.: Ninth Circuit applies heightened pleading standards to all elements of securities fraud actions

  • Paul Hastings LLP
  • -
  • USA
  • -
  • December 18 2014

On December 16, 2014, the United States Court of Appeals for the Ninth Circuit issued its decision in Oregon Pub. Employees Ret. Fund v. Apollo Grp

The boundaries for insider trading prosecutions see a resurgence: the 1980s are back!

  • Baker & Hostetler LLP
  • -
  • Ukraine, USA
  • -
  • December 17 2014

In a closely followed appeal, the United States Court of Appeals for the Second Circuit on December 10, 2014, delivered an important decision in

Second Circuit rejects government's expansive theory of insider trading

  • Arnold & Porter LLP
  • -
  • USA
  • -
  • December 17 2014

On December 10, 2014, the United States Court of Appeals for the Second Circuit reversed the convictions of two hedge fund portfolio managers accused

Third Circuit affirms enforceability of pre-dispute arbitration agreements for whistleblower claims under Dodd-Frank

  • Debevoise & Plimpton LLP
  • -
  • USA
  • -
  • December 17 2014

On December 8, the Third Circuit Court of Appeals held in Khazin v. TD Ameritrade Holding Corp., et al. That the "text and structure" of the

SEC Chair addresses risks & regulatory safeguards for the asset management industry

  • Thompson Hine LLP
  • -
  • USA
  • -
  • December 17 2014

On December 11, 2014, SEC Chair Mary Jo White gave a speech discussing the SEC's plans for enhancing and strengthening its response to the regulatory

NASAA unveils online filing system for state Form D filings

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • December 17 2014

On December 15, 2014, the North American Securities Administrators Association, Inc. (NASAA) unveiled its Electronic Filing Depository (EFD) for use