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Results: 1-10 of 80

Court says SEC wrong to permit exclusion of shareholder proposal
  • Stinson Leonard Street LLP
  • USA
  • December 5 2014

The United States District Court for the District of Delaware held that the SEC was incorrect when it rendered a no-action letter permitting


SEC files brief in conflict minerals rehearing
  • Stinson Leonard Street LLP
  • USA
  • December 8 2014

The SEC has filed its brief in the conflict minerals rehearing. Amnesty International also filed its brief as intervenor and Free Speech for People


Wal-Mart explains exclusion of shareholder proposal to Third Circuit
  • Stinson Leonard Street LLP
  • USA
  • January 15 2015

Wal-Mart appealed the United States District of Delaware's decision that denied Wal-Mart the right to exclude a shareholder proposal submitted by


Court finds SEC administrative proceeding constitutional
  • Stinson Leonard Street LLP
  • USA
  • March 7 2015

Section 929P(a) of the Dodd-Frank Act provides that the SEC's authority in administrative penalty proceedings is "coextensive" with its authority to


Wal-Mart appeals denial of exclusion of shareholder proposal
  • Stinson Leonard Street LLP
  • USA
  • January 7 2015

Wal-Mart has appealed the United States District of Delaware's decision which denied Wal-Mart the right to exclude a shareholder proposal submitted by


3rd Circuit holds Dodd-Frank retaliation claim subject to arbitration
  • Stinson Leonard Street LLP
  • USA
  • December 19 2014

In Khazin v. TD Ameritrade the United States Court of Appeals for the Third Circuit held that securities-related retaliation claims brought under


SEC distances itself from Janus and adopts expansive view of Rule 10b-5(a) and (c)
  • Stinson Leonard Street LLP
  • USA
  • December 16 2014

The SEC recently rendered an opinion in an enforcement action against two persons, John P. Flannery and James D. Hopkins, associated with an


SEC awards and denies whistleblower claims in hedge fund case
  • Stinson Leonard Street LLP
  • USA
  • June 12 2013

On October 26, 2011, the Commission filed an enforcement action in SEC v. Andrey C. Hicks and Locust Offshore Management, LLC, 1:11-cv-11888-RGS (D


NAM motion for emergency stay denied in conflict minerals case
  • Stinson Leonard Street LLP
  • USA
  • May 14 2014

The United States Court of Appeals for the District of Columbia has issued a per curiam order denying NAM's motion for an emergency stay of the


SEC seeks rehearing of conflicts minerals decision
  • Stinson Leonard Street LLP
  • USA
  • May 31 2014

The SEC has filed documentation with the District of Columbia Court of Appeals seeking an en bancrehearing of the conflict minerals decision. The