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Searching Content indexed under Securities by Seyfarth Shaw LLP ordered by Published Date Descending.
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1
SEC Proposes New Human Capital Disclosure Requirements: A Reasonable Step Or A Wolf In Sheep's Clothing?
The International Organization for Standardization has issued guidelines setting out even broader expectations for companies to meet. See ISO 30414.
United States
9 Oct 2019
2
SEC Imposes New Standard For Broker-Dealer Investment Advice
Consumer advocates had hoped the SEC would eliminate the distinction between the duties owed by RIAs and broker-dealers by establishing an across-the-board fiduciary standard covering both.
United States
21 Jun 2019
3
Recent Developments In Securities Litigation: The "Event Driven" #MeToo Lawsuit
The #MeToo movement has had an enormous impact on corporate America. Workplace harassment and sexual misconduct are not new concepts and have been the focus of litigation for many years.
United States
13 Jun 2019
4
Antitrust Traps For The Unwary: FTC Calls Foul On Basketball Exec For HSR Violation
This latest FTC enforcement action is a reminder that the HSR Act contains some nuance that can create traps for the unwary.
United States
14 Dec 2018
5
Delaware Chancery Court Deals Another Blow To Appraisal Arbitrage
Seyfarth Synopsis: The Delaware Chancery Court issued a decision Monday in a long-running appraisal dispute following Solera Holdings Inc.'s $6.5 billion sale to Vista Equity Partners LP in 2015...
United States
8 Aug 2018
6
Supreme Court Affirms State Courts' Jurisdiction Over 1933 Act Claims
Seyfarth Synopsis: In a much-awaited decision on which courts and counsel have reached different conclusions for years, the United States Supreme Court held on March 20, 2018 that the "SLUSA" does not...
United States
22 Mar 2018
7
Supreme Court Unanimously Confirms Scope Of Whistleblower Protection Under Dodd-Frank
The United States Supreme Court ruled 9-0 today that whistleblowing employees seeking to sue for retaliation under the Dodd-Frank Wall Street Reform and CPA must bring their concerns to the SEC before suing their employer.
United States
23 Feb 2018
8
Supreme Court Limits SEC Disgorgement Orders With Five-Year Statute Of Limitations
Seyfarth Synopsis: On June 5, 2017, the United States Supreme Court resolved a split among the federal circuit courts by unanimously holding that disgorgement collected by the Securities...
United States
16 Jun 2017
9
Exempt Stock Compensation Limits May Increase
On April 4, 2017, the House of Representatives passed H.R. 1343, entitled the Encouraging Employee Ownership Act of 2017...
United States
13 Apr 2017
10
SEC Claws Back Award For Dawdling Whistleblower, As Feds Signal Changes In Award Eligibility
Last week, the Securities and Exchange Commission released an Order Determining Whistleblower Award Claim holding that the whistleblower's award should be reduced to 20% of the monetary sanctions...
United States
20 Mar 2017
11
New York Court Reverses Rejection Of M&A Disclosure-Only Settlement Signaling Split From Delaware
On February 2, 2017, the Appellate Division for the First Department in New York entered an order approving a "disclosure-only" settlement.
United States
10 Mar 2017
12
To Be Or Not To Be: The SEC Administrative Court — Are They Constitutional Or Not
What, if any, steps the government will take to appeal the Tenth Circuit's Bandimer's decision remains to be seen.
United States
17 Jan 2017
13
Crowdfunding In The Cannabis Industry – Update – SEC Temporarily Suspends Med-Ex Crowdfunding Offering
In April, we wrote about Med-X, Inc. ("Med-X"). Med-X was the first cannabis company to launch an equity crowdfunding campaign, and as of September 16, 2016, the company has found itself in regulatory hot...
United States
20 Dec 2016
14
Salman V. United States Broadens Some Contours Of Insider Trading Law, But Leaves Others Uncertain
Salman v. United States, is only the third insider-trading case heard by the United States Supreme Court.
United States
20 Dec 2016
15
SEC Targets Employment Agreements Requiring Waiver Of Whistleblower Awards
The SEC's Office of the Whistleblower continues to examine employee severance, settlement and confidentiality agreements for language that might chill reporting of securities violations to the SEC and other regulators.
United States
25 Aug 2016
16
FINRA Award Numbers Show Declining Employee Win And Recovery Rates
The SAC's 2015 survey examines securities industry arbitration awards (mostly FINRA awards) issued in 2015 and analyzes them in the context of awards from a 7-year period (2009 through 2015).
United States
16 Aug 2016
17
SEC Approves NASDAQ "Golden Leash" Rules
Recently, the U.S. Securities and Exchange Commission (the "SEC") approved NASDAQ's new Rule 5250(b)(3), which requires NASDAQ-listed companies to publicly disclose any cash or non-cash payments made...
United States
8 Aug 2016
18
SEC Proposes Change To Definition Of Smaller Reporting Company
The SEC recently proposed changes to expand the number of U.S. public companies that would qualify as a "smaller reporting company"...
United States
3 Aug 2016
19
SEC To Tighten Enforcement On Companies' Accountability For The Glass Ceiling
The Securities and Exchange Commission (SEC), long known as "the disclosure agency" has a strong impact on corporate governance.
United States
12 Jul 2016
20
SEC Issues Near Record-Breaking Whistleblower Award
On June 9, 2016, the Securities and Exchange Commission announced it awarded over $17 million to an ex-employee of a financial services firm.
United States
24 Jun 2016
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