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SEC prevails in two cases
  • Dorsey & Whitney LLP
  • USA
  • November 27 2012

The SEC prevailed in a pair of litigated cases this week

SEC extends temporary rule for adviser principal trades
  • Morrison & Foerster LLP
  • USA
  • October 22 2012

The SEC has proposed to extend by two years a temporary rule that establishes an alternative means for registered investment advisers that are also registered as broker-dealers to meet the requirements of Section 206(3) of the Investment Advisers Act of 1940 when they act in a principal capacity in transactions with certain of their advisory clients

Lawsuit challenges SEC rules on conflict minerals
  • Porter Wright Morris & Arthur LLP
  • USA
  • October 24 2012

On October 22, 2012, the U.S. Chamber of Commerce, the National Manufacturers Association, and the Business Roundtable filed a lawsuit in the United States Court of Appeals for the DC Circuit seeking to modify or eliminate the Securities and Exchange Commission’s ("SEC") final rules governing conflict minerals

Federal courts bars extraterritorial application of Dodd-Frank’s anti-retaliation provision to whistleblowers employed abroad
  • Sutherland Asbill & Brennan LLP
  • USA
  • October 23 2012

In Asadi v. G.E. Energy (USA), LLC, a federal district court in Texas held that Dodd-Frank’s anti-retaliation protections for SEC whistleblowers do not apply to employees stationed abroad

Insider trading and determinations by the company
  • Dorsey & Whitney LLP
  • USA
  • October 22 2012

In SEC v. Obus, Docket No. 10-4749 (2nd Cir. Decided Sept. 6, 2012) the Circuit Court found that the defendants could be held liable for insider trading despite the fact that the company concluded they had not breached any duty

Court limits Dodd-Frank Act whistleblower rule's reach
  • Winston & Strawn LLP
  • USA
  • October 28 2013

On October 21st, a U.S. District Court addressed the extraterritorial reach of the Dodd-Frank Act's anti-retaliation provisions. Plaintiff, a former

Mark Cuban wins insider trading trial
  • Porter Wright Morris & Arthur LLP
  • USA
  • October 17 2013

After "refusing to be bullied" into settlement, Mark Cuban, the billionaire owner of the Dallas Mavericks, won over a Texas jury and was cleared of

Mark Cuban defense verdict highlights difficulty of proving “misappropriation” theory of insider trading
  • Kaye Scholer LLP
  • USA
  • October 18 2013

Mark Cuban, the well-known entrepreneur, purchased a 6.3 percent stake in the NASDAQ-listed company Mamma.com, a Canadian internet search engine

2012 first half case nuggets
  • Chadbourne & Parke LLP
  • USA
  • September 19 2012

Delaware and federal courts issued a number of important opinions in the first half of 2012, dealing with business combinations and securities laws, among other things

SEC conflict minerals guidance: June 2, 2014 filing deadline stands
  • Cahill Gordon & Reindel LLP
  • USA
  • May 1 2014

On April 29, 2014, the SEC Division of Corporation Finance issued a statement clarifying the effect of the D.C. Circuit decision in National