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Results: 1-10 of 60

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


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


Hedge fund and its partner and lawyer fail on motion to dismiss for breach of fiduciary duty
  • Stinson Leonard Street LLP
  • USA
  • October 5 2014

A case against a hedge fund, and one of its partners and in-house counsel, related to actions at a portfolio company and alleging breach of fiduciary


MD&A rules do not create Rule 10b-5 disclosure obligation
  • Stinson Leonard Street LLP
  • USA
  • October 6 2014

The Ninth Circuit recently examined whether Item 303 of Regulation of S-K, which sets forth the MD&A rules, creates an affirmative duty of disclosure


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


NAM files supplemental brief in conflict minerals rehearing
  • Stinson Leonard Street LLP
  • USA
  • December 29 2014

The National Association of Manufactures, the Chamber of Commerce of the United States of America and the Business Roundtable have filed their


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


Three Dodd-Frank whistleblower anti-retaliation claims fail
  • Stinson Leonard Street LLP
  • USA
  • March 3 2015

Courts recently issued three opinions on the whistleblower anti-retaliation provisions of the Dodd-Frank Act. In Murray v. UBS Securities, LLC, Mr


Amicus briefs pour in for Wal-Mart shareholder proposal case
  • Stinson Leonard Street LLP
  • USA
  • January 23 2015

Amicus briefs are pouring in in favor of Wal-Mart in its appeal to the Third Circuit. Wal-Mart appealed the United States District of Delaware's