Articles

Results 1 to 5 of 20
Most popular |Most recent


Supreme Court Rejects SEC Practice on Appointing Administrative Law Judges

USA - June 22 2018 The U.S. Supreme Court yesterday rejected the Securities and Exchange Commission’s longtime method of appointing administrative law judges (ALJs) to...

Second Circuit Reverses Itself on Insider Trading

USA - August 25 2017 Stock traders who thought they could trade freely on gifts of inside information so long as the givers were not their close friends should rethink...

Anne T. Redcross, Mark A. Srere.

High Court to Address Whether State Courts May Hear Federal Securities Claims Regarding IPOs

USA - June 28 2017 The Supreme Court yesterday agreed to consider whether the Securities Litigation Uniform Standards Act of 1998 (“SLUSA”) precludes state court...

Chris LaRocco.

Supreme Court Limits SEC Ability to Seek Disgorgement by Holding Five-Year Statute of Limitations Applies to Such Actions

USA - June 5 2017 A five-year statute of limitations applies to actions by the Securities and Exchange Commission for disgorgement, the U.S. Supreme Court ruled today...

Chris LaRocco, Mark A. Srere, Jennifer Kies Mammen.

Supreme Court to Hear Whether 5-year Statute of Limitations Applies to SEC Disgorgement Actions

USA - January 27 2017 In a case with important consequences for SEC enforcement, the U.S. Supreme Court has agreed to address whether a five-year statute of limitations...