Jun 13 2023 |
Ninth Circuit Enforces Delaware Forum Selection Clause to Affirm Dismissal of Derivative Claim for Alleged Violation of Section 14(a) of the Securities Exchange Act of 1934 |
Sheppard, Mullin, Richter & Hampton LLP |
May 3 2013 |
District Court Grants Motion to Compel Against Securities & Exchange Commission (SEC), Holding that "Facts" Are Not Work Product In SEC Confidential Witness Interviews |
Sheppard, Mullin, Richter & Hampton LLP |
Jun 13 2013 |
Sixth Circuit Splits with Second and Ninth Circuits Regarding Need to Allege Defendants' State of Mind for Claims Challenging Soft Information Under Section 11 of the Securities Act of 1933 |
Sheppard, Mullin, Richter & Hampton LLP |
Jul 13 2013 |
SEC Eliminates the Prohibition on General Solicitation for Rule 506 and Rule 144A Offerings |
Sheppard, Mullin, Richter & Hampton LLP |
Jan 18 2019 |
The Effects Of The SEC Shutdown On The Capital Markets |
Sheppard, Mullin, Richter & Hampton LLP |
Jan 29 2019 |
Class Size Doesn’t Matter—Seventh Circuit Holds That Federal Law Bars Private Securities Class Actions Brought Under State Law Regardless of the Number of Putative Class Members |
Sheppard, Mullin, Richter & Hampton LLP |
Mar 8 2019 |
With the SEC, Cooperation is Key |
Sheppard, Mullin, Richter & Hampton LLP |
Mar 29 2019 |
“Nanny” Government Rebuffed in Prosecution of Former Barclays Trader |
Sheppard, Mullin, Richter & Hampton LLP |
Mar 22 2014 |
Second Circuit Upholds SEC’s Authority to Obtain Disgorgement from Non-Trading Insider Profits Earned by Portfolio Fund from Insider Trading |
Sheppard, Mullin, Richter & Hampton LLP |
Feb 3 2020 |
California State Court Declines to Expand Standing for Claims Under 1933 Act |
Sheppard, Mullin, Richter & Hampton LLP |
Mar 23 2020 |
COVID-19 Directors’ Duties of Oversight: Reporting and Monitoring |
Sheppard, Mullin, Richter & Hampton LLP |
Aug 20 2020 |
Ninth Circuit Reverses SEC Disgorgement Award and Remands in First Decision Post-Liu |
Sheppard, Mullin, Richter & Hampton LLP |
Jan 26 2015 |
Second Circuit Notes Split with Ninth Circuit Over Whether Failure to Make Adequate Disclosures Under Item 303 of Regulation S-K May Serve as Basis for a Section 10(b) Claim |
Sheppard, Mullin, Richter & Hampton LLP |
Jun 29 2015 |
Changes in Margin Trading and Short Selling Regulations and the Potential Impact on Client Investment’s Through QFII A-Shares |
Sheppard, Mullin, Richter & Hampton LLP |
Jul 30 2021 |
New York Courts Continue to Enforce Broad General Releases, Even When Claims are Unforeseeable at the Time of Contract Execution |
Sheppard, Mullin, Richter & Hampton LLP |
Nov 6 2015 |
IRS Announces Inflation-Adjusted Amounts for 2016 |
Sheppard, Mullin, Richter & Hampton LLP |
Dec 21 2015 |
FAST Act Speeds-Up Raising Capital |
Sheppard, Mullin, Richter & Hampton LLP |
Feb 14 2022 |
Colorado AG Issues Guidance on Data Security Best Practices |
Sheppard, Mullin, Richter & Hampton LLP |
Mar 9 2022 |
NYDFS Issues Cybersecurity Guidance in Response to Events in Ukraine |
Sheppard, Mullin, Richter & Hampton LLP |
Mar 10 2016 |
What is “Personal Benefit” for Insider Trading Tippee Liability? |
Sheppard, Mullin, Richter & Hampton LLP |
Sep 17 2010 |
Proxy Access Notice Dates For 2011 Proxy Season Established |
Sheppard, Mullin, Richter & Hampton LLP |
Feb 13 2011 |
A Rising Tide for Annual Say-on-Pay Votes |
Sheppard, Mullin, Richter & Hampton LLP |
Jul 27 2017 |
The SEC and ICOs: Putting the SEC’s Determination that DAO Tokens are Securities in Context |
Sheppard, Mullin, Richter & Hampton LLP |
Jan 17 2013 |
Reminder to Perform Annual ISO / ESPP Reporting in January 2013 |
Sheppard, Mullin, Richter & Hampton LLP |
Mar 10 2013 |
U.S. Supreme Court Declines to Apply the "Discovery Rule" to Extend the Five-Year Statute of Limitations for SEC Punitive Fraud Enforcement Actions |
Sheppard, Mullin, Richter & Hampton LLP |
Jul 13 2018 |
New York Court of Appeals Rules that Civil Securities Fraud Claims Brought Under Martin Act are Subject to Three-Year Statute of Limitations |
Sheppard, Mullin, Richter & Hampton LLP |
Jul 13 2013 |
SEC Adopts Rules to Remove Ban on General Solicitation for Rule 506 Offerings – Will Significantly Affect Permissible EB-5 Marketing Practices |
Sheppard, Mullin, Richter & Hampton LLP |
Aug 2 2013 |
Rules Eliminating the Prohibition on General Solicitation for Rule 506 and Rule 144A Offerings Become Effective September 23, 2013 |
Sheppard, Mullin, Richter & Hampton LLP |
Aug 28 2013 |
Eighth Circuit Applies Negligence Standard to Securities and Exchange Commission (SEC) Enforcement Claims for Violations of Section 14(a) and Rules 14a-9, 13b2-1 and 13b2-2 |
Sheppard, Mullin, Richter & Hampton LLP |
Oct 11 2013 |
Shanghai Pilot Free Trade Zone (PFTZ) |
Sheppard, Mullin, Richter & Hampton LLP |
Sep 14 2023 |
What Do the CPPA’s Draft Regulations on Risk Assessments and Cybersecurity Audits Mean for Companies? |
Sheppard, Mullin, Richter & Hampton LLP |
Jan 19 2014 |
California Court of Appeal Clarifies Rights of Dissenting Minority Shareholders Under California Corporation Code § 1312(b) |
Sheppard, Mullin, Richter & Hampton LLP |
Aug 20 2019 |
Fifth Circuit Affirms Enron Broker Not Liable to Employee Stock Option Holders for False or Withheld Information |
Sheppard, Mullin, Richter & Hampton LLP |
Jan 11 2024 |
Treasury Announces Renewed Push for Investment Adviser AML Rules in Q1 2024 |
Sheppard, Mullin, Richter & Hampton LLP |
May 10 2014 |
Second Circuit Applies Morrison v. National Australia Bank to Allow Certain Extraterritorial Application of RICO |
Sheppard, Mullin, Richter & Hampton LLP |