Robert A. Robertson

Dechert LLP

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District of Delaware Holds that ANDA Filer’s Conversion from a PIV Certification to a PIII Certification Does Not Strip Court of Jurisdiction, But Does Warrant Dismissal of Hatch-Waxman Infringement Claims

USA - July 8 2020 Generic manufacturers seeking to put an end to Hatch-Waxman Act patent litigation over a branded company’s Orange Book-listed patents can seek to do…

Robert D. Rhoad

SEC Issues Proposed Rule Permitting Variable Annuity and Variable Life Insurance Contracts to Use Layered Disclosure

USA - November 14 2018 The U.S. Securities and Exchange Commission announced on October 30, 2018 that it had voted to issue a proposed rule and form amendments that would…

James V. Catano, Jeffrey S. Puretz

SEC focuses on fair valuation in recent enforcement cases

USA - December 20 2012 The U.S. Securities and Exchange Commission (SEC) issued an order commencing an administrative proceeding against the former members of the boards of directors (Boards) of five registered investment companies on December 10, 2012, charging them with alleged violations of the Boards’ responsibilities to fair value portfolio securities for which market quotations were not readily available (RMK Board Proceeding).

Jane A. Kanter, Jack W. Murphy, Michael L. Sherman, Brian S. Vargo

SEC issues "concepts release" on funds use of derivatives

USA - September 22 2011 The Securities and Exchange Commission recently issued a "Concept Release" stating that the Commission and its staff are reviewing the use of derivatives by mutual funds, closed-end funds and business development companies (collectively, "funds").

Stephen H. Bier, Philip T. Hinkle, Audrey Wagner, Aaron D. Withrow

Morgan Keegan settles SEC fraud charges related to mortgage-backed securities valuations in its registered funds

USA - July 5 2011 The SEC, state regulators and FINRA on June 22, 2011 announced that Morgan Keegan & Company (“Morgan Keegan”) and Morgan Asset Management (“Morgan Asset”) agreed to pay $200 million to settle fraud charges related to subprime mortgage-backed securities valuations in their registered funds.