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SEC Proposes Amendments Regarding 10b5-1 Trading Plans and Disclosures for Executive Officer Equity Grants and Gifts

USA - December 22 2021 On December 15, 2021, the SEC proposed amendments (available here) to Rule 10b5-1, which provides an affirmative defense to insider trading liability…

Cindy Akard, Jeremy M. Allen-Arney, Christopher J. Cummings, Andrew J. Ehrlich, David S. Huntington, Brian M. Janson, John C. Kennedy, Daniel J. Kramer, Jean M. McLoughlin, Raphael M. Russo, Daniel S. Sinnreich, Lawrence I. Witdorchic, Tracey A. Zaccone

Marsh UK’s Individual Liability podcast: Shareholder Derivative Suits Against Non-U.S. Companies in U.S. Courts

USA - December 15 2021 Audra and Dan discussed the emerging trend of shareholder derivative actions against directors and officers of non-U.S. companies in U.S. courts. Dan…

Daniel S. Sinnreich

Federal Jury Finds Cryptocurrency Products Not Securities in Landmark Verdict

USA - November 18 2021 On November 2, 2021, a federal jury in Audet v. Fraser found that four cryptocurrency-related products were not securities under the Securities…

Robin Linsenmayer, Jonathan Ashtor, Susanna M. Buergel, Kristina Bunting, Jessica S. Carey, Geoffrey R. Chepiga, Meredith Dearborn, Andrew J. Ehrlich, Michael E. Gertzman, EMILY M. GLAVIN, Roberto J. Gonzalez, Carly Lagrotteria, Jane B. O'Brien, Raphael M. Russo, Daniel S. Sinnreich

SEC Enforcement Director Announces “Aggressive” Policy Shifts, Including Requiring Admissions of Wrongdoing

USA - October 18 2021 On October 13, 2021, Gurbir Grewal, the SEC’s new Director of Enforcement, announced in a speech that he intends to recommend “aggressive” use of…

Susanna M. Buergel, Jessica S. Carey, Geoffrey R. Chepiga, Andrew J. Ehrlich, Roberto Finzi, Harris Fischman, Brad S. Karp, Daniel J. Kramer, Gregory F. Laufer, Jane B. O'Brien, Lorin L. Reisner, Briana Sheridan, Daniel S. Sinnreich, Richard C. Tarlowe

Q3 2021 U.S. Legal & Regulatory Developments

USA - October 14 2021 The following is our summary of significant U.S. legal and regulatory developments during the third quarter of 2021 of interest to Canadian companies…

Matthew W. Abbott, Stephen C. Centa, Christopher J. Cummings, Andrew J. Foley, Adam M. Givertz, Christian G. Kurtz, Rosita Lee, Ben Mayer-Goodman, Andrea Quek, Katharine S. Wilson, Thea Winterton-Perks