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Shearman & Sterling LLP | USA | 6 Jun 2023
United States Supreme Court Confirms That Section 11 Of The Securities Act Requires A Plaintiff To Plead And Prove Purchase Of Shares Traceable To The Allegedly False Or Misleading Registration Statement At Issue
On June 1, 2023, the United States Supreme Court held in a unanimous decision that, under Section 11 of the Securities Act of 1933 (the “Securities…
Fried Frank Harris Shriver & Jacobson LLP | USA | 6 Jun 2023
Supreme Court Reaffirms that Section 11 Plaintiffs Must Trace Stock Purchases to Specific Registration Statements
In Slack Technologies, LLC v. Pirani, 2023 WL 3742580 (June 1, 2023), a unanimous Supreme Court held that in order to state a viable claim under…
Shearman & Sterling LLP | USA | 1 Jun 2023
New Jersey Appellate Division Affirms Dismissal Of Putative Securities Class Action On The Basis Of Federal Forum Selection Provision
On May 15, 2023, the Appellate Division of the Superior Court of New Jersey unanimously affirmed the dismissal with prejudice of a putative…
Mayer Brown | USA | 1 Jun 2023
Supreme Court Limits Scope of Direct Listing Suits
Today, the Supreme Court held in a unanimous decision that a shareholder suing a company under Section 11(a) of the Securities Act of 1933 over…
SEC Actions | USA | 18 May 2023
Commission Settles Ten Unregistered Sale of Securities Actions
Regulation A created a limited exemption from the Registration Requirements of Section 5, Securities Act for those who comply with the dictates of…
Sidley Austin LLP | USA | 18 May 2023
FINRA Issues Regulatory Notice on Broker-Dealer Responsibilities in Private Placements
On May 9, 2023, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 23-08 (Notice) to remind broker-dealer of their…
Shearman & Sterling LLP | USA | 9 May 2023
United States Supreme Court hears oral argument in Securities Act case raising questions of standing
On April 17, 2023, the United States Supreme Court heard oral argument in a case addressing whether “tracing” a share to specific registration…
Kurtin PLLC | USA | 2 May 2023
Public or Private: When Should a Company Go Public and When Stay Private?
According to Bloomberg, in 2000, during the “dot-com” bubble, the average time between a company’s formation and going public in an Initial Public…
Kurtin PLLC | USA | 24 Apr 2023
Deal Points Short Takes 2023:01: Use a Private Placement Memorandum
Some of the private placement/exempt from public registration methods to raise capital in the U.S. securities market r…
Shearman & Sterling LLP | USA | 18 Apr 2023
United States Supreme Court hears oral argument in Securities Act case raising questions of standing
Yesterday the United States Supreme Court heard oral argument in a case raising questions of when investors have standing to sue under Sections 11…
