We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 134

SEC settles five insider trading actions, cooperation key
  • Dorsey & Whitney LLP
  • USA
  • April 27 2014

The Commission filed two groups of settled insider trading actions centered on the merger of eBay, Inc. with Pennsylvania based e-commerce company


SEC settles spoofing, unregistered broker charges
  • Dorsey & Whitney LLP
  • USA
  • April 6 2014

High speed trading and its impact on the markets is the topic de jour. Author Michael Lewis claims the markets are "rigged," a statement which no


This week in securities litigation (week ending March 28, 2014)
  • Dorsey & Whitney LLP
  • USA, United Kingdom
  • March 27 2014

The New York Attorney General secured one of the most significant market crisis settlements to date this week. The former CEO of Bank of America


D.C. Circuit dismisses most industry challenges to EPA’s utility NSPS as premature, upholds EPA on opacity monitoring and rejection of state law defenses to civil penalties
  • Dorsey & Whitney LLP
  • USA
  • March 13 2014

In a unanimous decision issued on March 11, 2014, the United States Court of Appeals for the District of Columbia Circuit rejected, on procedural and


This week in securities litigation (week ending January 31, 2014)
  • Dorsey & Whitney LLP
  • USA, Australia, Hong Kong
  • January 30 2014

SEC Chair Mary Jo White declared that 2014 will be a very busy year for the Division of Enforcement. At the same time fellow Commissioner Michael


This week in securities litigation (the week ending January 24, 2014)
  • Dorsey & Whitney LLP
  • USA
  • January 23 2014

The insider trading trial of former SAC Capital employee Matthew Martoma continued this week. The SEC filed one new administrative proceeding this


This week in securities litigation (week ending October 4, 2013)
  • Dorsey & Whitney LLP
  • USA
  • October 3 2013

Operation Broken Gate is the Commission's latest undertaking which focuses on the role of gatekeepers, according to a recent SEC press release


This week in securities litigation (two weeks ending July 12, 2013)
  • Dorsey & Whitney LLP
  • USA
  • July 12 2013

Statistics for case filings at the end of the second calendar quarter reflected a continuation of earlier trends regarding the filing of SEC


SEC fines CBOE $6 million for regulatory failures
  • Dorsey & Whitney LLP
  • USA
  • June 11 2013

The Chicago Board of Options Exchange became the first Self-Regulatory Organization to pay a civil penalty relating to its regulatory oversight


FIRREA civil money penalties
  • Dorsey & Whitney LLP
  • USA
  • May 16 2013

In a case of first impression, the District Court for the Southern District of New York has refused to dismiss the federal government's suit against