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United States
Proskauer Rose LLP
The SEC's new rules imposing a T + 1 settlement cycle for most securities transactions take effect on May 28, 2024. The previous default settlement cycle had been T + 2.
Proskauer Rose LLP
In its final Private Fund Adviser Rules adopted last year, the SEC dropped one of the more controversial proposed rules—the proposal to prohibit contractual exculpation or indemnification...
Schulte Roth & Zabel LLP
The US Securities and Exchange Commission ("SEC") and the Commodity Futures Trading Commission ("CFTC") have overhauled Form PF and private fund managers have until March 12, 2025, to begin reporting on the new Form.
K&L Gates
On 27 March 2024, the US Securities and Exchange Commission (SEC) adopted amendments (the Amendments) to Rule 203A-2(e) under the Investment Advisers Act of 1940 (Advisers Act).
Kilgore & Kilgore
On February 8, 2024, the Supreme Court ruled for protecting employee rights in whistleblower cases where lawfully protected actions are contributing factors to adverse employment actions.
Shearman & Sterling LLP
On April 5, 2024, the United States Court of Appeals for the Ninth Circuit affirmed in part and reversed in part the dismissal of a putative class action asserting claims under the Securities Exchange Act of 1934.
Bracewell
Companies are rapidly adopting artificial intelligence technologies, and both regulators and private plaintiffs have set their sights on "AI washing," where businesses tout AI capabilities that do not exist.
K&L Gates
On 3 April 2024, the US Securities and Exchange Commission (the SEC) announced the first settlement with a stand-alone registered investment adviser for, among other things, failures to maintain and preserve certain electronic communications.
WilmerHale
On April 12, 2024, the U.S. Supreme Court took a significant step to curb securities fraud suits based on alleged omissions in SEC filings.
Getting The Message: What To Do (And Worry About) With Ephemeral Messaging Apps And Personal Devices
Cadwalader, Wickersham & Taft LLP
Cadwalader partner Jeffrey Clark has authored a blog post, "Getting the Message: What to Do (and Worry About) With Ephemeral Messaging Apps and Personal Devices," which appeared in the most recent...
Vorys Sater Seymour & Pease
On March 6, 2024, the U.S. Securities and Exchange Commission (SEC) adopted a final rule that will require public companies to provide certain climate-related information...
Shearman & Sterling LLP
Welcome to the first 2024 edition of Shearman & Sterling's Fifth Circuit Securities Litigation Quarterly. As public companies and financial institutions continue to migrate to Texas...
Katten Muchin Rosenman LLP
A special purpose broker dealer, or SPBD, recently disclosed unilaterally that it would soon custody the digital asset ether, known as ETH, as a digital asset security.
Mintz
Yesterday, Congressman McHenry (R-NC), the Chairman of the House Financial Services Committee, hosted a hearing entitled: "Beyond Scope: How the SEC's Climate Rule Threatens American Markets."
Proskauer Rose LLP
Adviser-led secondary transactions have seen explosive growth over the last five years.
Lowenstein Sandler
On April 3, 2024, the U.S. Securities and Exchange Commission (SEC) announced yet another settlement regarding "off-channel communications."
Duane Morris LLP
A New York federal court has held that the SEC sufficiently pleaded that Coinbase—a well-known cryptocurrency exchange, broker, and clearing agency...
Duane Morris LLP
A New York federal court has held that the SEC sufficiently pleaded that Coinbase—a well-known cryptocurrency exchange, broker, and clearing agency ...
Shearman & Sterling LLP
On April 4, 2024, the State of New York, Appellate Division, First Judicial Department affirmed dismissal of a securities class action against a mass media and entertainment company and two of its executives, ...
Greenberg Traurig, LLP
Since the Securities and Exchange Commission's Cybersecurity Incident Disclosure Rule (SEC Rule) took effect Dec. 18, 2023, about a dozen companies have filed a Form 8-K...
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