| Dec 12 2017 |
SEC Takes $15 Million Bite Out of an ICO |
Sheppard, Mullin, Richter & Hampton LLP |
| Jan 18 2013 |
Changes in the Wind for Rule 10b5-1 Trading Plans? |
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 |
| 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 |
| 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 |
| Jan 19 2014 |
California Court of Appeal Clarifies Rights of Dissenting Minority Shareholders Under California Corporation Code § 1312(b) |
Sheppard, Mullin, Richter & Hampton LLP |
| Sep 8 2023 |
Stock Exchange Deadline Approaches for Adopting SEC Compliant Clawback Policy |
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 |
| May 10 2014 |
Second Circuit Applies Morrison v. National Australia Bank to Allow Certain Extraterritorial Application of RICO |
Sheppard, Mullin, Richter & Hampton LLP |
| May 15 2014 |
China Securities Regulatory Commission (CSRC) Issued New Drafts of Administrative Measures on Acquisition of Unlisted Public Companies for Public Comment |
Sheppard, Mullin, Richter & Hampton LLP |
| Nov 16 2023 |
China Released Draft Rules Regulating and Promoting Cross-Border Data Transfer |
Sheppard, Mullin, Richter & Hampton LLP |
| Mar 19 2020 |
SEC Amends Definitions of “Accelerated Filer” and “Large Accelerated Filer” and Provides Relief to Small Issuers from Auditor Attestation Requirements |
Sheppard, Mullin, Richter & Hampton LLP |
| May 27 2020 |
SEC Adopts Comprehensive Changes to “Significance” Tests and Financial Disclosure Requirements of Acquired and Disposed Businesses |
Sheppard, Mullin, Richter & Hampton LLP |
| Nov 13 2014 |
FINRA Issues Guidance Notice on Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process |
Sheppard, Mullin, Richter & Hampton LLP |
| Jul 7 2020 |
Interplay of Main Street Lending Program Documents: the Rights and Role of the Main Street |
Sheppard, Mullin, Richter & Hampton LLP |
| Jul 13 2020 |
Some Strings Attached: Main Street Lending Program And Private Company M&A |
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 |
| Jul 22 2011 |
Second Circuit Holds That the Private Securities Litigation Reform Act of 1995 Bars All RICO Claims Based Upon Alleged Acts of Securities Fraud |
Sheppard, Mullin, Richter & Hampton LLP |
| Sep 6 2011 |
SEC Announces Slight Decrease in Fee Rates for Section 6(b), Section 13(e) and Section 14(g) in Fiscal Year 2012 |
Sheppard, Mullin, Richter & Hampton LLP |
| Jan 7 2012 |
SEC Toughens Listing Requirements for Reverse Merger Companies |
Sheppard, Mullin, Richter & Hampton LLP |
| Jun 7 2022 |
May 2022 Crypto Enforcement Actions and Regulatory Guidance Roundup |
Sheppard, Mullin, Richter & Hampton LLP |
| Jun 29 2022 |
China Securities Regulatory Commission issued Proposed Provisions Related to Offshore Listing |
Sheppard, Mullin, Richter & Hampton LLP |
| Jul 21 2022 |
Payday Lender Ordered to Pay $39 Million in Misappropriated Funds Suit |
Sheppard, Mullin, Richter & Hampton LLP |
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