Jun 20 2014 |
Current Trends and Risks in the Private Equity Industry |
Sheppard, Mullin, Richter & Hampton LLP |
Jun 25 2014 |
U.S. Supreme Court Decision Gives More Latitude to Defeat Securities Fraud Class Action Lawsuits Prior to Class Certification |
Sheppard, Mullin, Richter & Hampton LLP |
May 27 2020 |
Second Circuit Holds That Investors Who Delegate Discretionary Authority to Investment Advisors are not Members of a “Group” for Purposes of Section 16(b) Liability |
Sheppard, Mullin, Richter & Hampton LLP |
Jul 21 2020 |
SEC and DOJ Adopt Memorandum of Understanding to Formalize Interagency Cooperation in the Securities Industry |
Sheppard, Mullin, Richter & Hampton LLP |
Apr 3 2015 |
S.E.C. Adopts Final Rules Amending Regulation A |
Sheppard, Mullin, Richter & Hampton LLP |
Dec 3 2020 |
CFTC’s Enforcement Division Announces Record-Breaking 2020 and Outlines Priorities for 2021 |
Sheppard, Mullin, Richter & Hampton LLP |
May 26 2015 |
Delaware Chancery Court Holds that Creditor Plaintiffs in Derivative Suits May Satisfy Standing Requirement by Showing Corporation’s Insolvency at Time of Suit, Regardless of Later Solvency |
Sheppard, Mullin, Richter & Hampton LLP |
Aug 20 2021 |
SEC Approves Nasdaq Diversity Rule |
Sheppard, Mullin, Richter & Hampton LLP |
Oct 13 2015 |
SEC Charges Investment Adviser for Failure to Disclose Acceleration of Monitoring Fees and Discounts on Legal Fees |
Sheppard, Mullin, Richter & Hampton LLP |
Nov 18 2015 |
SEC Issues a Risk Alert on the Current State of Outside Compliance Consultants |
Sheppard, Mullin, Richter & Hampton LLP |
Nov 24 2015 |
Forward to The Past: NYSE Returns to Regulation |
Sheppard, Mullin, Richter & Hampton LLP |
Jan 28 2022 |
Recent SEC Proposed Rulemaking Could Impact Blockchain Trading Platforms |
Sheppard, Mullin, Richter & Hampton LLP |
Feb 26 2016 |
REGULATORS, QUANT UP! New Rules from FINRA, SEC and CFTC Target Automated Algorithmic Trading |
Sheppard, Mullin, Richter & Hampton LLP |
Jun 27 2016 |
SEC Prevails in Regulation A+ Litigation |
Sheppard, Mullin, Richter & Hampton LLP |
Aug 19 2010 |
Ninth Circuit Holds That Scienter May Be Established Through An Objective Evaluation Of A Defendant's Deliberate Recklessness |
Sheppard, Mullin, Richter & Hampton LLP |
Oct 13 2010 |
California Court Of Appeal Holds That Shareholders Have Standing To Pursue Derivative Actions After Dissolution Of A Corporation |
Sheppard, Mullin, Richter & Hampton LLP |
Nov 3 2010 |
Delaware Supreme Court Clarifies Law Regarding Standing of Plaintiff-Shareholders to Bring a Post-Merger Double Derivative Action |
Sheppard, Mullin, Richter & Hampton LLP |
Mar 29 2011 |
A MATRIXX Revolution, Part II: Supreme Court affirms Ninth Circuit's holding that Life Science Companies Cannot Rely On a Statistical Significance Standard When Deciding Whether Adverse Event Reports are Material for the Purpose of Securities Disclosures |
Sheppard, Mullin, Richter & Hampton LLP |
Aug 27 2011 |
California Court of Appeal Refuses to Permit an Action for Rescission of a Strategic Transaction, Holding That a Board Has No Duty Under California Law to Include a "Fiduciary Out" |
Sheppard, Mullin, Richter & Hampton LLP |
Oct 3 2011 |
How to Turn a Bankruptcy Reorganization Into an Insider Trading Charge |
Sheppard, Mullin, Richter & Hampton LLP |
Feb 1 2012 |
Public Company Control Alert: NYSE Acts to Further Limit Broker Votes on Specified Corporate Governance Proposals |
Sheppard, Mullin, Richter & Hampton LLP |
Jul 26 2017 |
SEC Declares That Initial Coin Offerings (ICOs) May Be Securities; Finds DAO a Security |
Sheppard, Mullin, Richter & Hampton LLP |
Nov 4 2022 |
Another Seven Year Wait is Over! SEC Finalizes Regulations on Clawback of Incentive Compensation for Restated Financial Statements |
Sheppard, Mullin, Richter & Hampton LLP |
Feb 3 2013 |
Ninth Circuit Applies Securities Litigation Uniform Standards Act to Affirm Dismissal of Section 17200 Class Action Involving Variable Life Insurance Policies |
Sheppard, Mullin, Richter & Hampton LLP |
Feb 16 2013 |
Higher Filing Thresholds for Hart-Scott-Rodino Antitrust Improvements Act of 1976 Premerger Notifications Effective February 11, 2013 |
Sheppard, Mullin, Richter & Hampton LLP |
Apr 17 2018 |
Second Circuit Limits Reach of SLUSA Preclusion in State Law Variable Annuity Class Action |
Sheppard, Mullin, Richter & Hampton LLP |
Mar 27 2013 |
Second Circuit Reverses Class Certification Order, Holding That a Clearing Broker's Alleged Knowledge of Fraud Against Shareholders, Absence Direct Involvement, Is Insufficient to Create a Duty of Disclosure |
Sheppard, Mullin, Richter & Hampton LLP |
May 11 2013 |
SEC to Return Escrowed EB-5 Investment Funds to Immigrant Investors of Intercontinental Regional Center Trust of Chicago |
Sheppard, Mullin, Richter & Hampton LLP |
Jul 12 2018 |
SEC Expands the Definition of “Smaller Reporting Company” |
Sheppard, Mullin, Richter & Hampton LLP |
Jun 1 2013 |
California State Senate Passes Measure Providing Partial Relief From Cutler Decision (re: Qualified Small Business Stock (QSBS)) |
Sheppard, Mullin, Richter & Hampton LLP |
May 15 2023 |
Hot Antitrust Enforcement Climate Reaches Private Equity |
Sheppard, Mullin, Richter & Hampton LLP |
Oct 22 2018 |
SEC Issues $1 Million Identity Theft Rule Fine |
Sheppard, Mullin, Richter & Hampton LLP |
May 25 2023 |
SEC Off-Channel Communications Sweep |
Sheppard, Mullin, Richter & Hampton LLP |
Aug 9 2013 |
Still Standing: U.S. Court Upholds Securities and Exchange Commission (SEC) Conflicts Minerals Rule |
Sheppard, Mullin, Richter & Hampton LLP |
Sep 7 2013 |
The Foreign Corrupt Practices Act (FCPA) in the News: Big Scoops, Real Fallout |
Sheppard, Mullin, Richter & Hampton LLP |