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Similar to class actions generally, exploring ethics issues in securities class action litigation (specifically fee-splitting), and how that affects settlement value for plaintiff investors
By Barry R. Temkin | May 9, 2024
For the past eighty-five years, the securities industry has been regulated by the SEC and designated SROs under its supervision. But that system is changing.
7 minute read
By John Moon and Lori Marks-Esterman | May 8, 2024
An overview of why checks and balances of the courts, as well as SEC enforcement, are critical to maintaining disclosures that are needed to maintain the strength of the U.S. markets.
6 minute read
By Maydeen Merino | May 7, 2024
Proposed legislation would allow private parties in an administrative proceeding to remove their case to federal court before adjudication.
4 minute read
By Maria Dinzeo | May 6, 2024
The development is a setback for Robinhood legal chief Dan Gallagher, who has championed a strategy of engaging with the agency and is himself a former SEC commissioner.
3 minute read
By Michael A. Mora | May 6, 2024
Mark Cuban and the Dallas Mavericks are the remaining defendants, with a trial set tip off in November.
3 minute read
By Charles Toutant | May 3, 2024
Cognizant agreed to pay $25 million to the U.S. Securities and Exchange Commission in 2019 to settle charges that the payments it made to Indian government officials violated the Foreign Corrupt Practices Act.
4 minute read
By Avalon Zoppo | April 30, 2024
"Hopefully, a future panel of this Court, or the Supreme Court, can clarify the law along the lines described here, so that the majority's untenable views are not sustained," Judge Eric Clay wrote.
3 minute read
By Colleen Murphy | April 29, 2024
The stock price dropped $1.72 per share at the release of that news to close down 22.9%, at $5.79 per share on Feb. 13.
4 minute read
By Katayun I. Jaffari, Mehrnaz Jalali and Rikisha Collins | April 25, 2024
While the status of the final rules remains uncertain, the SEC's 2010 climate guidance continues to apply. Companies should continue to consider providing more robust disclosure on climate-related risks and their impact on the company's business, results of operations and financial condition in response to demands from investors and to comply with rules and guidance set forth by the SEC, states, other regulatory agencies and other advisory bodies.
9 minute read
By James J. Beha II and Brendan F. Quigley | April 24, 2024
In a significant decision regarding the scope of the federal securities laws' anti-fraud provisions, the U.S. Supreme Court held that "pure omissions" are inactionable under Section 10(b) of the Securities Exchange Act and its enabling rule, SEC Rule 10b-5.
9 minute read
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