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CFTC and SEC jointly adopt identity theft red flags rules

Herrick Feinstein LLP
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USA
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May 2 2013

On April 10, 2013, the CFTC and SEC jointly issued final rules under Section 615(e) of the Fair Credit Reporting Act (the "FCRA") which require

SEC staff provides guidance on unregistered broker-dealer online crowdsourcing platforms

Herrick Feinstein LLP
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USA
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April 26 2013

The SEC staff has issued two no-action letters providing relief from the broker-dealer registration requirements of the Securities Exchange Act of

SEC staff issues guidance regarding prohibition on personal loans to executive officers and directors

Herrick Feinstein LLP
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USA
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April 26 2013

The SEC staff issued interpretative guidance addressing Section 402 of the Sarbanes-Oxley Act of 2002 for the first time. Section 402 prohibits an

U.S. Supreme Court rules statute of limitations starts running upon occurrence of fraud, not discovery by SEC

Herrick Feinstein LLP
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USA
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March 27 2013

In a recent unanimous decision, the United States Supreme Court overturned the Second Circuit Court of Appeals, holding that the federal statute of

Short-swing profit rule inapplicable to purchase and sale of different series of common stock

Herrick Feinstein LLP
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USA
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February 25 2013

The U.S. Second Circuit Court of Appeals ruled that Section 16(b) of the Securities Exchange Act of 1934 does not apply to a corporate insider's

Investment bank found not guilty for failing to detect fraud

Herrick Feinstein LLP
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USA
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February 25 2013

A jury trial held in Federal District Court in Boston found that Goldman Sachs was not guilty for failing to detect fraud in connection with its

Delaware Court of Chancery reaffirms DGCL section 211 requirement to hold annual stockholders meeting

Herrick Feinstein LLP
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USA
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January 28 2013

The Delaware Court of Chancery recently held that the Delaware General Corporation Law's Section 211 requirement to hold an annual stockholders

FINRA issues voluntary interim form to gather information from crowdfunding portals

Herrick Feinstein LLP
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USA
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January 28 2013

On January 10, 2013, FINRA issued a voluntary Interim Form for Funding Portals (the "Interim Form") for the purpose of gathering information from

Regulation FD and social media communications

Herrick Feinstein LLP
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USA
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December 28 2012

For the first time, the Securities and Exchange Commission (the "SEC") issued a Wells Notice based on a social media communication. The Wells Notice

Federal district court upholds "big boy" agreement

Herrick Feinstein LLP
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USA
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December 28 2012

A federal district court granted summary judgment in favor of a placement agent in connection with a claim based on an investment transaction. The court

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Search results

CFTC and SEC jointly adopt identity theft red flags rules

SEC staff provides guidance on unregistered broker-dealer online crowdsourcing platforms

SEC staff issues guidance regarding prohibition on personal loans to executive officers and directors

U.S. Supreme Court rules statute of limitations starts running upon occurrence of fraud, not discovery by SEC

Short-swing profit rule inapplicable to purchase and sale of different series of common stock

Investment bank found not guilty for failing to detect fraud

Delaware Court of Chancery reaffirms DGCL section 211 requirement to hold annual stockholders meeting

FINRA issues voluntary interim form to gather information from crowdfunding portals

Regulation FD and social media communications

Federal district court upholds "big boy" agreement

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