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Supreme Court reaffirms Basic v. Levinson presumption of reliance

USA - June 23 2014 On June 23, 2014, the Supreme Court of the United States issued its much-anticipated decision in Halliburton Co., et al. V. Erica P. John Fund, Inc…

C. Neil Gray, Sarah R. Wolff.

Message from FINRA Enforcement chief: "talk to me"

USA - June 19 2014 Earlier this week, J. Bradley Bennett, Executive Vice-President, Enforcement for FINRA, spoke at a gathering hosted by SIFMA's Compliance & Legal…

C. Neil Gray.

The Securities and Exchange Commission (“SEC”) prevails in the Second Circuit in defending its no-admission settlement policy

USA - June 5 2014 The long legal battle over the SEC's neither-admit-nor-deny settlement policy has finally come to an end. On June 4, 2014, the Second Circuit issued…

Daniel Z. Herbst, Terence Healy.

SEC's Corp Fin double-takes on WKSI Waivers

USA - April 28 2014 For the second time in as many months, the U.S. Securities and Exchange Commission's Division of Corporation Finance ("Corp Fin") has issued a…

Lisa G. Blackburn.

Corp Fin takes another look at WKSI waivers

USA - March 14 2014 The U.S. Securities and Exchange Commission's Division of Corporation Finance ("Corp Fin") recently updated its guidance concerning how it will…

Lisa G. Blackburn.