Feb 1 2019 |
Expansion of Regulation A to Reporting Companies: Increased Alternatives Now Available to Public Companies Seeking to Raise Capital or for Mergers and Acquisitions |
Sheppard, Mullin, Richter & Hampton LLP |
Sep 5 2023 |
Texas’ SCOPE Act Puts Focus on Social Media and Minors |
Sheppard, Mullin, Richter & Hampton LLP |
Mar 25 2014 |
U.S. Securities & Exchange Commision (SEC) Brings Charges Against SEC Registered Investment Adviser for Improperly Allocating Expenses and Other Violations of the Investment Advisers Act of 1940 |
Sheppard, Mullin, Richter & Hampton LLP |
Sep 4 2014 |
Second Circuit Defines “Customer” for Mandatory FINRA Arbitration |
Sheppard, Mullin, Richter & Hampton LLP |
May 14 2020 |
SEC Co-Director of Enforcement Outlines Division’s Response to COVID-19 |
Sheppard, Mullin, Richter & Hampton LLP |
Jun 9 2020 |
DOJ Updates Corporate Compliance Guidance |
Sheppard, Mullin, Richter & Hampton LLP |
Nov 18 2014 |
Staying Above The Political Fray – The RIA (Registered Investment Adviser) Political Contribution Rule |
Sheppard, Mullin, Richter & Hampton LLP |
Jun 29 2020 |
DC Circuit Repudiates SEC Program for Testing Exchange Fee Structures |
Sheppard, Mullin, Richter & Hampton LLP |
Jan 16 2015 |
SEC Releases 2015 Examination Priorities --Securities and Exchange Commission |
Sheppard, Mullin, Richter & Hampton LLP |
Jan 27 2015 |
SEC Co-Chief of Division of Enforcement’s Asset Management Unit Identifies 2015 Exam Priorities for Hedge and Private Equity Funds |
Sheppard, Mullin, Richter & Hampton LLP |
Sep 29 2020 |
Despite Challenges, It’s Full Steam Ahead For SEC’s Enforcement Division |
Sheppard, Mullin, Richter & Hampton LLP |
Mar 18 2021 |
SEC Commissioner Calls for a Brave New Approach to Corporate Penalties |
Sheppard, Mullin, Richter & Hampton LLP |
Oct 11 2021 |
Delaware Supreme Court Adopts New Three-Prong Test for Demand Futility |
Sheppard, Mullin, Richter & Hampton LLP |
Nov 20 2015 |
SEC Fines Advisers for Allocating Compliance Expenses to Funds |
Sheppard, Mullin, Richter & Hampton LLP |
Apr 14 2022 |
Tokenization and the Law: Legal Issues with NFTs |
Sheppard, Mullin, Richter & Hampton LLP |
Jun 30 2016 |
SEC Steps Up Cybersecurity Enforcement with $1 Million Fine Against Morgan Stanley |
Sheppard, Mullin, Richter & Hampton LLP |
Aug 28 2010 |
SEC Adopts Mandatory Proxy Access Rule for Shareholder Director Nominations -- Applicable for 2011 Proxy Season |
Sheppard, Mullin, Richter & Hampton LLP |
Jan 29 2011 |
California Court Of Appeal Holds That Privity Of Contract Is Necessary To Maintain An Action For Rescission Under California Corporations Code Sections 25504 And 25504.1 |
Sheppard, Mullin, Richter & Hampton LLP |
Jun 20 2011 |
United States Supreme Court Holds that the "Maker" of a Statement for Rule 10b-5 Purposes is the Person or Entity with Ultimate Authority Over the Statement |
Sheppard, Mullin, Richter & Hampton LLP |
Jul 8 2011 |
Delaware Supreme Court Holds That Insider Trading Claims Alleging Misuse of Confidential Corporate Information Need Not Show Injury To the Corporation |
Sheppard, Mullin, Richter & Hampton LLP |
Jun 18 2022 |
NFT Insider Trading – Can There Be A Crime If It’s Not A Security? |
Sheppard, Mullin, Richter & Hampton LLP |
Jan 24 2012 |
Spotlight on Pay For Performance Intensifies as ISS Releases New Evaluation Methodology for 2012 Proxy Season |
Sheppard, Mullin, Richter & Hampton LLP |
Oct 27 2022 |
SEC Adopts New Executive Compensation Clawback and Disclosure Rule |
Sheppard, Mullin, Richter & Hampton LLP |
Jan 3 2018 |
Delaware Supreme Court Imposes New Limits on Stockholder Ratification Defense In Connection With Equity Incentive Plans |
Sheppard, Mullin, Richter & Hampton LLP |
Jan 4 2023 |
Ninth Circuit Holds that Social Media Posts May Give Rise to “Seller” Liability Under Section 12(a)(2) of the Securities Act of 1933 |
Sheppard, Mullin, Richter & Hampton LLP |
Feb 19 2013 |
Second Circuit Affirms Dismissal of Securities Fraud Claims Relating to Allegedly Misleading Press Release |
Sheppard, Mullin, Richter & Hampton LLP |
May 2 2023 |
It’s Not Just the NLRB Watching You – NLRB Adds the Consumer Financial Protection Bureau to Its Ever Growing List of Interagency Collaborations |
Sheppard, Mullin, Richter & Hampton LLP |
Jun 19 2018 |
New Law Requires SEC to Expand Regulation A+ To Exchange Act Reporting Companies |
Sheppard, Mullin, Richter & Hampton LLP |
Jun 8 2023 |
United States Supreme Court Holds That Section 11 Plaintiffs Must Purchase Securities Issued Under the Registration Statement They Seek to Challenge |
Sheppard, Mullin, Richter & Hampton LLP |
Jul 14 2013 |
What the SEC’s Elimination of the Prohibition on General Solicitation for Rule 506 Offerings Means to the EB-5 Community |
Sheppard, Mullin, Richter & Hampton LLP |
Jul 16 2013 |
Second Circuit Rejects the Application of American Pipe's Tolling Rule and Rule 15(c)'s "Relation Back" Doctrine to the Three-Year Statute of Repose for Section 11 and 12(a) Claims |
Sheppard, Mullin, Richter & Hampton LLP |
Aug 28 2013 |
Delaware General Corporation Law Amended to Speed Up the Consummation of Two-Step Merger Transactions |
Sheppard, Mullin, Richter & Hampton LLP |
Aug 2 2023 |
An Evolving High-Wire Act: Navigating Conflicting Laws, Regulations, and Guidance in the ESG Space |
Sheppard, Mullin, Richter & Hampton LLP |
Sep 20 2013 |
Financial Industry Regulatory Authority (FINRA) Raises the Bar on Due Diligence by Broker Dealers Involved in EB-5 |
Sheppard, Mullin, Richter & Hampton LLP |
Aug 14 2019 |
Commercial Division Justices Provide Dueling Approaches to Discovery Stays in State Court Securities Litigation |
Sheppard, Mullin, Richter & Hampton LLP |