Jan 14 2019 |
Delaware Court of Chancery Declares Ineffective Exclusive Federal Forum Provision for 1933 Act Claims |
Sheppard, Mullin, Richter & Hampton LLP |
Feb 5 2019 |
SEC Administrative Proceedings Against Public Companies for Failure to Remediate Material Weaknesses in Internal Control Over Financial Reporting |
Sheppard, Mullin, Richter & Hampton LLP |
Oct 23 2013 |
Tenth Circuit Finds that Jury Must Determine Whether “Notes Are Securities” in a Securities Fraud Action |
Sheppard, Mullin, Richter & Hampton LLP |
Nov 7 2013 |
California Court of Appeal Holds That Challenges to Corporate Elections Under Corporations Code Section 709 May Be Predicated Upon Breach of Fiduciary Duty and Conflict of Interest Allegations |
Sheppard, Mullin, Richter & Hampton LLP |
Apr 16 2019 |
New Effort to Exempt Crypto Currency from Certain SEC, Tax and Other Regulatory Burdens |
Sheppard, Mullin, Richter & Hampton LLP |
Oct 4 2023 |
Albermarle Agrees to Pay $218 Million to Settle Foreign Bribery Probe |
Sheppard, Mullin, Richter & Hampton LLP |
Sep 18 2019 |
SEC Looks to Modernize Disclosure Approach |
Sheppard, Mullin, Richter & Hampton LLP |
Oct 16 2019 |
Third Circuit Reversal a Pyrrhic Win for SEC in Ongoing Statute of Limitations Saga |
Sheppard, Mullin, Richter & Hampton LLP |
Apr 22 2024 |
Organizational Integrity Shorts: The Importance of Post-Investigation Activities |
Sheppard, Mullin, Richter & Hampton LLP |
Oct 22 2014 |
Changes on Horizon for Equity Compensation Plans as ISS (Institutional Shareholder Services Inc.) Issues New Draft Policy |
Sheppard, Mullin, Richter & Hampton LLP |
Jan 29 2015 |
SEC Staff To Express No Views On Conflicting Shareholder Proposals Under Rule 14a-8(i)(9) |
Sheppard, Mullin, Richter & Hampton LLP |
Feb 27 2015 |
Second Circuit Holds That SIPA Does Not Permit an Inflation or Interest Adjustment to “Net Equity” Claims For Customer Property |
Sheppard, Mullin, Richter & Hampton LLP |
May 19 2015 |
Delaware Supreme Court Holds That a Stockholder Plaintiff Must Plead a Non-Exculpated Claim to Avoid Section 102(b)(7)-Based Dismissal When Seeking Damages From Independent and Disinterested Directors |
Sheppard, Mullin, Richter & Hampton LLP |
Mar 8 2021 |
SEC Going Cyber-Hunting for ESG-Related Misconduct |
Sheppard, Mullin, Richter & Hampton LLP |
Jan 28 2022 |
CFPB Provides Guidance on How Consumers Can Obtain and Dispute Inaccuracies in Credit Reports |
Sheppard, Mullin, Richter & Hampton LLP |
Mar 3 2022 |
SEC Targets NFTs |
Sheppard, Mullin, Richter & Hampton LLP |
Apr 4 2016 |
Second Circuit Narrowly Applies Supreme Court’s Decision in Omnicare |
Sheppard, Mullin, Richter & Hampton LLP |
Oct 21 2016 |
Fantasy Stock Picking Contest Deemed by SEC to be Illegal Security-based Swaps |
Sheppard, Mullin, Richter & Hampton LLP |
Oct 6 2010 |
Ninth Circuit Adopts Moench Presumption in Favor of Fiduciaries |
Sheppard, Mullin, Richter & Hampton LLP |
Feb 6 2011 |
Tenth Circuit Affirms High Standard For Scienter Pleading In Securities Fraud Cases Against Independent Auditors |
Sheppard, Mullin, Richter & Hampton LLP |
Feb 21 2011 |
Delaware Chancery Court Provides Further Clarification as to When the "Entire Fairness" Standard of Review is Appropriate and How It Will Be Applied |
Sheppard, Mullin, Richter & Hampton LLP |
Mar 25 2011 |
SPACs 2.0: New SPAC Rules Changes Approved By NASDAQ And NYSE AMEX And New Market Features Make SPACs A More Attractive Investment Vehicle In 2011 |
Sheppard, Mullin, Richter & Hampton LLP |
Jun 10 2011 |
California Court of Appeal Interprets "Controlling Person" Liability Under State and Federal Securities Laws |
Sheppard, Mullin, Richter & Hampton LLP |
Jun 16 2022 |
NFT Insider Trading Compliance Policies – What They Cover and Why You Need One |
Sheppard, Mullin, Richter & Hampton LLP |
Mar 17 2017 |
SEC Adopts Rule Requiring Hyperlinks to Exhibits and HTML Formatting |
Sheppard, Mullin, Richter & Hampton LLP |
Sep 28 2011 |
SEC Rulemaking: Guide to Newly Effective Eligibility Criteria to Replace Credit Ratings in Public Offerings |
Sheppard, Mullin, Richter & Hampton LLP |
Dec 12 2011 |
Delaware Supreme Court Clarifies Scope of Relief a Shareholder is Entitled For Inspection of Corporate Books And Records Pursuant To A Section 220 Demand |
Sheppard, Mullin, Richter & Hampton LLP |
Feb 8 2023 |
Delaware Court of Chancery Holds that Officers of a Delaware Corporation Are Subject to Fiduciary Duty of Oversight |
Sheppard, Mullin, Richter & Hampton LLP |
Mar 8 2013 |
U.S. Supreme Court Holds that Class Action Securities Fraud Plaintiffs Need Not Prove the Materiality of the Alleged False Statements or Omissions to Support Certification of a Class, Resolving Circuit Split |
Sheppard, Mullin, Richter & Hampton LLP |
Apr 26 2018 |
Ninth Circuit Splits From Other Circuits, Holding That a Negligence Standard Applies to a Claim Challenging Tender Offer Disclosures Under Section 14(e) |
Sheppard, Mullin, Richter & Hampton LLP |
Jun 27 2018 |
You Might Be an Inside Trader If…You Trade on Your Unconfirmed Suspicions of a Cybersecurity Event Prior to Its Public Revelation or Disclosure |
Sheppard, Mullin, Richter & Hampton LLP |
Aug 22 2013 |
Potential Challenges Associated With California's Revised Uniform Limited Liability Company Act Scheduled to Take Effect on January 1, 2014 |
Sheppard, Mullin, Richter & Hampton LLP |
Jan 15 2019 |
Regulation A May Prove Useful Alternative to Form S-4 Registration for Public Companies Doing Smaller M&A Deals |
Sheppard, Mullin, Richter & Hampton LLP |
Mar 5 2019 |
Ninth Circuit Holds That Statutes Do Not Constitute “Rules or Regulations of the SEC” for Purposes of Sarbanes-Oxley Act Whistleblower Claims |
Sheppard, Mullin, Richter & Hampton LLP |
Sep 8 2023 |
Stock Exchange Deadline Approaches for Adopting SEC Compliant Clawback Policy |
Sheppard, Mullin, Richter & Hampton LLP |
Oct 23 2013 |
Third Circuit Joins With the Seventh, Ninth and Eleventh Circuits in Holding That Plaintiffs Asserting 1933 Act Claims Need Not Plead Compliance With the Statute of Limitations, Splitting With the First, Eighth and Tenth Circuits |
Sheppard, Mullin, Richter & Hampton LLP |
Oct 31 2013 |
Crowdfunding Moves Forward: The Securities and Exchange Commission (SEC) Issues Proposed Rules on Crowdfunding |
Sheppard, Mullin, Richter & Hampton LLP |
Nov 16 2023 |
China Released Draft Rules Regulating and Promoting Cross-Border Data Transfer |
Sheppard, Mullin, Richter & Hampton LLP |
Nov 11 2019 |
Delaware Update: Court of Chancery Declines to Bind a Non-signatory Parent Corporation to Forum Selection Clause |
Sheppard, Mullin, Richter & Hampton LLP |
Mar 7 2020 |
Coronavirus and Considerations for Publicly Traded Companies |
Sheppard, Mullin, Richter & Hampton LLP |
Sep 23 2014 |
Compliance Officers’ Liability When Engaging and Remediating Problems at Investment Management Firms |
Sheppard, Mullin, Richter & Hampton LLP |
Jun 30 2020 |
D.C. Circuit Rejects SEC’s Program Testing Exchange Fees and Rebates |
Sheppard, Mullin, Richter & Hampton LLP |
Dec 29 2014 |
Second Circuit Holds RMBS-issued (Residential Mortgage-backed Securities) Certificates Are Exempt from the Trust Indenture Act (TIA) |
Sheppard, Mullin, Richter & Hampton LLP |
Feb 11 2015 |
Second Circuit Clarifies that Allegations of Direct Fraudulent Representations Are Not Necessary for Market Manipulation Claims Under Section 10(b) and Rule 10b-5 |
Sheppard, Mullin, Richter & Hampton LLP |
Apr 3 2015 |
United States Supreme Court Resolves Circuit Split Regarding Section 11 Claims Predicated Upon Allegedly Misleading Statements of Opinion |
Sheppard, Mullin, Richter & Hampton LLP |
Jul 22 2015 |
Delaware Supreme Court Reinforces Importance of Clear and Precise Bylaw Provisions and Specifically Drafted Notices of Annual Meetings |
Sheppard, Mullin, Richter & Hampton LLP |
Oct 1 2021 |
Delaware Supreme Court Holds that Equity Dilution and Expropriation Claims May Only Be Brought Derivatively, Overruling Prior Precedent |
Sheppard, Mullin, Richter & Hampton LLP |
Jun 27 2016 |
Securities and Exchanges Commission Prevails in Regulation A+ Litigation |
Sheppard, Mullin, Richter & Hampton LLP |
Jul 29 2010 |
The Regulatory March to Reform Executive Compensation Practices Takes Another Step Forward |
Sheppard, Mullin, Richter & Hampton LLP |
Oct 10 2010 |
Second Circuit Holds That No Private Right Of Action Exists Under Section 304 Of The Sarbanes-Oxley Act |
Sheppard, Mullin, Richter & Hampton LLP |