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Results: 1-10 of 13,201

Investment services regulatory update
  • Vedder Price PC
  • USA
  • July 1 2015

On June 26, 2015, the staff of the Division of Investment Management of the SEC issued a Guidance Update addressing the staff’s views on the


Advisor’s false statements about assets under management and performance results in SEC enforcement action
  • Foley & Lardner LLP
  • USA
  • March 31 2015

In a recently announced enforcement action (In the Matter of Acamar Global Investments, LLC and Rudolph A. Martin, IAA Release No. 4050, March 18


In Omnicare, the Supreme Court clarifies when statements of opinion are actionable under Section 11 of the Securities Act
  • Debevoise & Plimpton LLP
  • USA
  • March 26 2015

On March 24, 2015, the U.S. Supreme Court issued its much anticipated decision in Omnicare, Inc. v. Laborers District Council Construction Industry


Keeping an eye outupdates and briefly noted
  • Manatt Phelps & Phillips LLP
  • USA
  • September 8 2015

On August 25, 2015, FinCEN proposed regulations that, if adopted, would (1) require investment advisers to establish anti-money laundering programs


Cornerstone report describes securities class action litigation shift toward West Coast and smaller public companies
  • Carlton Fields
  • USA
  • September 8 2015

Recently, Cornerstone Research, an economic and financial consultancy, released its mid-year report on federal securities class action filings


Business law update - Summer- 2015
  • Thompson Hine LLP
  • USA
  • June 24 2015

While it may be true that the only things certain in life are death and taxes, knowing how to reduce your tax liability can certainly make paying


Addressing the SEC's administrative "home court" advantage in enforcement proceedings
  • Morvillo Abramowitz Grand Iason & Anello PC
  • USA
  • September 8 2015

A recent decision from the Seventh Circuit Court of Appeals highlights the ongoing debate regarding the Securities and Exchange Commission's


CFPB wins MTD, but loses on scienter standard for aiding-and-abetting claims
  • Morrison & Foerster LLP
  • USA
  • September 9 2015

A federal judge has rejected the CFPB’s argument that the CFPA should incorporate a lower standard for “recklessness” than that to secondary


SEC rejects constitutional challenge to administrative proceeding
  • Proskauer Rose LLP
  • USA
  • September 8 2015

The Securities and Exchange Commission joined the raging debate about whether SEC administrative proceedings conducted by administrative law judges


Same facts, different results: civil and criminal liability after ‘Newman'
  • Morvillo Abramowitz Grand Iason & Anello PC
  • USA
  • May 5 2015

The Second Circuit’s decision in United States v. Newman continues to have a significant impact on insider trading cases. In this article, we discuss