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Results: 1-10 of 3,739

Failure to timely file SEC reports is not a default under certain indenture reporting covenants

  • White & Case LLP
  • -
  • USA
  • -
  • January 13 2009

Companies that have issued or plan to issue debt securities are facing an unusual confluence of circumstances: a severely discounted secondary debt market combined with an increasing level of internal corporate investigation activity resulting from, among other things, requirements imposed by the Sarbanes-Oxley Act

Cornerstone Report: securities class action filings soar in 2008 due to an increase in filings against financial services firms

  • Edwards Wildman Palmer LLP
  • -
  • USA
  • -
  • January 15 2009

Cornerstone Research, in cooperation with Stanford Law School's Securities Class Action Clearinghouse, recently released its report on federal securities class action filings in 2008

Broker’s scheme to profit from trading Apple ends in DOJSEC charges

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • April 16 2013

Broker David Miller did not have inside information about the Apple earnings call scheduled for October 25, 2012. He did have something else - plans

The Eleventh Circuit requires members of a Section 13(d)(3) group to individually have beneficial ownership

  • Alston & Bird LLP
  • -
  • USA
  • -
  • January 13 2009

The Eleventh Circuit recently addressed an issue of first impression in this circuit regarding whether individuals or entities without a beneficial ownership interest in a company's securities can be members of a “group” within the meaning of Section 13(d)(3) of the Securities and Exchange Act of 1934 (“Exchange Act”

SEC files initial brief in conflict minerals rule case

  • Holland & Knight LLP
  • -
  • USA
  • -
  • April 15 2013

The SEC recently filed its initial brief in the case pending in the United States Court of Appeals for the D.C. Circuit in which the National

SEC files settled FCPA action

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • April 10 2013

The SEC filed its first Foreign Corrupt Practices Act case of the year, a settled administrative proceeding which named Philips Electronics as a

Ninth Circuit holds that Section 304 of the Sarbanes Oxley Act does not provide litigants with a private right of action

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • January 6 2009

In In re Digimarc Corporation Derivative Litigation, 2008 WL 5171347 (9th Cir. Dec. 11, 2008), the United States Court of Appeals for the Ninth Circuit held that Section 304 of the Sarbanes-Oxley Act (15 U.S.C. 7243), which provides for the forfeiture of certain bonuses and profits when corporate officers fail to comply with securities law reporting requirements, does not create a private right of action

Supreme Court scheduled to hear appeal of Jones v. Harris Associates excessive fee opinion

  • Drinker Biddle & Reath LLP
  • -
  • USA
  • -
  • May 4 2009

The U.S. Supreme Court granted certiorari March 9, 2009, agreeing to hear plaintiffs’ appeal of the Seventh Circuit’s Jones v. Harris Associates opinion, which rejected the Gartenberg v. Merrill Lynch Asset Management standard by which courts have judged the “reasonableness” of mutual fund investment advisers’ fees for nearly 30 years

U.S. Supreme Court agrees to hear appeal from Seventh Circuit decision on approval of advisory fees

  • Dykema Gossett PLLC
  • -
  • USA
  • -
  • August 31 2009

On March 9, 2009, the Supreme Court agreed to review Jones v. Harris Associates, L.P., a Seventh Circuit decision that rejects the Gartenberg standard in litigation under 36(b) of the Investment Company Act of 1940 (the “1940 Act”) and adopts a new test for reviewing advisory fee challenges under 36(b

D.C. Circuit holds limited partnership units to be securities

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 28 2009

The plaintiffs, successors in interest to a publicly traded real estate investment trust (REIT) and its affiliated limited partnership (LP), appealed the dismissal of their complaint which asserted claims arising under Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5

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