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 |
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 |
Dec 13 2017 |
When Does Software Become Securities? |
Sheppard, Mullin, Richter & Hampton LLP |
Sep 8 2022 |
The Seven Year Wait is Over! SEC Finalizes New Pay Versus Performance Disclosure Regulations |
Sheppard, Mullin, Richter & Hampton LLP |
Feb 18 2013 |
Between Mortar and Pestle: Securities and Exchange Commission (SEC) Pressure Grinds Auditors Against People's Republic of China (PRC) State Interests |
Sheppard, Mullin, Richter & Hampton LLP |
Mar 13 2013 |
Second Circuit Rules That Putative Auction Rate Securities Class Action Complaints Failed to Adequately Plead Antitrust Conspiracy |
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 |
Feb 1 2023 |
SEC Showcases Lesser-Known Legal Theory in Crypto Lending Suit |
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 |
May 7 2023 |
CFPB Issues Guidance to Protect Homeowners from Zombie Mortgages |
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 |
Feb 20 2014 |
Delaware Court of Chancery Applies Implied Covenant of Good Faith and Fair Dealing to Prohibit An Acquiring Entity From Diverting Revenues to Depress Payouts Under a Contingent Purchase Price Provision |
Sheppard, Mullin, Richter & Hampton LLP |
Aug 28 2023 |
Texas Amends Data Breach Notification Law, Updates Effective September 1 |
Sheppard, Mullin, Richter & Hampton LLP |
Sep 8 2023 |
The SEC’s Sudden Impact on NFTs! |
Sheppard, Mullin, Richter & Hampton LLP |
Apr 1 2014 |
Texas District Court Cites Recent “Evolution” of Rule 23 Standards to Deny Class Certification Motion in Securities Action Based Upon Allegedly Misleading Registration Statement |
Sheppard, Mullin, Richter & Hampton LLP |
Oct 31 2019 |
Spoofing Enforcement Intensifies |
Sheppard, Mullin, Richter & Hampton LLP |
Apr 21 2020 |
Exchange Relief: NYSE Provides Partial Waiver for Shareholder Approval of PIPE Transactions; Nasdaq Provides Relief Regarding Continued Listing Requirements |
Sheppard, Mullin, Richter & Hampton LLP |
Dec 5 2014 |
Recent SEC Enforcement Actions Highlight Importance of Robust Insider Trading Compliance Policies |
Sheppard, Mullin, Richter & Hampton LLP |
Dec 11 2014 |
Second Circuit Limits “Tippee” Insider Trading Liability |
Sheppard, Mullin, Richter & Hampton LLP |