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 |
Jan 11 2024 |
Treasury Announces Renewed Push for Investment Adviser AML Rules in Q1 2024 |
Sheppard, Mullin, Richter & Hampton LLP |
Mar 7 2020 |
Coronavirus and Considerations for Publicly Traded Companies |
Sheppard, Mullin, Richter & Hampton LLP |
Apr 19 2024 |
What Private Equity Firms Need to Know About the Ongoing SEC Investigation of “Off-Channel” Communications |
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 |
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 |
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 |
Jun 15 2022 |
SEC Investigating Lack of Insider Trading Policies for NFT/Crypto Exchanges |
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 |
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 |
Sep 14 2023 |
What Do the CPPA’s Draft Regulations on Risk Assessments and Cybersecurity Audits Mean for Companies? |
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 |
Jul 7 2014 |
Second Circuit Overturns District Court’s Rejection of SEC-Citigroup Fraud Settlement |
Sheppard, Mullin, Richter & Hampton LLP |
Aug 15 2014 |
Securities Fraud: Cherry-Picking & Soft Dollars |
Sheppard, Mullin, Richter & Hampton LLP |