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The HSR Act’s “Investment” Exemption - Strategic Considerations in Light of Recent Enforcement
  • Locke Lord LLP
  • USA
  • April 22 2016

On April 4, 2016 the Department of Justice (DOJ) sued ValueAct Capital (ValueAct), an "activist" investment fund, for violation of the


Ninth Circuit Overturns Taxpayer-Friendly Decision in Demutualizations
  • Locke Lord LLP
  • USA
  • December 16 2015

On December 9, in Dorrance v. The United States, the Ninth Circuit overturned a favorable district court decision for taxpayers in demutualizations


SEC releases guidance on examination of broker-dealer and investment advisor information security practices; NYSE releases Cybersecurity Guide
  • Locke Lord LLP
  • USA
  • November 13 2015

The Security and Exchange Commission's Office of Compliance Inspections and Examinations (the "OCIE") recently announced its 2015 Cybersecurity


Litigation threat means public companies should review director compensation process
  • Locke Lord LLP
  • USA
  • June 16 2015

Corporate directors are permitted to, and regularly do, set their own compensation. This has not been controversial because boards have typically


New York appeals court: Dishonest Acts exclusion does not preclude coverage for SEC-ordered payment
  • Locke Lord LLP
  • USA
  • January 23 2015

Last week, the Appellate Division (First Department) of the New York State Supreme Court issued its latest ruling in the matter of JP Morgan


SEC advises issuers to continue to comply with Conflict Minerals Rule
  • Locke Lord LLP
  • Democratic Republic of Congo, USA
  • April 30 2014

Reacting to a recent court ruling striking down a portion of the Dodd-Frank Act and related SEC Form SD, yesterday, the SEC's Division of Corporate


Federal securities class action filings decline through Q2 2013
  • Locke Lord LLP
  • USA
  • July 31 2013

Federal securities class action activity has been sluggish through the first half of 2013. According to a recent report by Cornerstone Research and


New York’s highest court delivers important disgorgement decision
  • Locke Lord LLP
  • USA
  • June 12 2013

On June 11, 2013, the New York State Court of Appeals reinstated a policyholder's claim for coverage for a $160 million "disgorgement" payment to the


With securities case dismissal, another loss in the southern district for LIBOR plaintiffs
  • Locke Lord LLP
  • USA
  • May 15 2013

On Monday, Southern District of New York Judge Shira Scheindlin dismissed the entire suit in Gusinsky v. Barclays, without leave to amend and with


SDNY judge guts LIBOR claims on motion to dismiss, but banks are not off the hook yet
  • Locke Lord LLP
  • USA
  • April 2 2013

In an exhaustive 161-page ruling issued on Friday, Judge Naomi Reice Buchwald of the Southern District of New York dismissed the majority of the