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61 results found

Article

Fenwick & West LLP | USA | 17 May 2018

SEC Enforcement Trends: Highlights from Securities Enforcement Forum West 2018

The Securities Enforcement Forum West 2018 brought together current and former senior U.S. Securities and Exchange Commission and U.S. Department of

Article

Fenwick & West LLP | USA | 15 Mar 2018

SEC Fines Private Company in First Enforcement Action Resulting from Rule 701 Option Grants Investigation

The U.S. Securities and Exchange Commission brought an action against San Francisco-based Credit Karma on March 12 for issuing employee stock options

Article

Fenwick & West LLP | USA | 7 Nov 2017

SEC's Latest Guidance Clarifies Rule 701 Disclosure Delivery Requirements

The U.S. Securities and Exchange Commission (SEC) on November 6, 2017, clarified the requirements for delivering financial and other disclosures to

Video

Fenwick & West LLP | USA | 14 Jul 2016

SEC Focuses on Silicon Valley: Hot Enforcement Areas

Fenwick partner and securities enforcement co-chair Mike Dicke lays out the U.S. Securities and Exchange Commission’s hot-button areas

Article

Fenwick & West LLP | USA | 4 Apr 2016

Securities Enforcement Alert: SEC Increases Scrutiny of “Unicorns” and Other Private Companies and Secondary Market Trading of Pre-IPO Shares - Urges Private Companies to Adopt Enhanced Controls Long Before IPO

In an unprecedented one-day blitz, the Chair of the Securities and Exchange Commission was joined by the SEC Enforcement Director in events in

Article

Fenwick & West LLP | USA | 31 Mar 2016

SEC Enforcement Trends for 2016

Welcome to the latest edition of Fenwick and West's Securities Litigation and Enforcement Newsletter. In this newsletter, we look at SEC enforcement

Article

Fenwick & West LLP | USA | 24 Jun 2014

The Supreme Court’s Halliburton decision: reliance can still be presumed in securities class actions, but defendants may now rebut the presumption at an earlier stage

In a highly anticipated decision issued June 23, 2014, the Supreme Court in Halliburton Co. v. Erica P. John Fund, Inc., No. 13-317 (June 23, 2014)

Article

Fenwick & West LLP | USA | 21 Jan 2014

New HSR thresholds for 2014

The annual adjustment of the dollar thresholds for pre-acquisition filings under the Hart-Scott-Rodino Act will take effect the end of February. All

Article

Fenwick & West LLP | USA | 14 Aug 2013

SEC clears way for general solicitation in private securities offerings

New regulations approved by the Securities and Exchange Commission (SEC) in July 2013 give companies greater freedom to communicate with potential

Article

Fenwick & West LLP | USA | 4 Apr 2013

SEC guidance on using social media to disclose material non public information

On April 2, 2013, the Securities and Exchange Commission issued noteworthy guidance on the use of social media to disclose material information in

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