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By Shearman & Sterling LLP
On November 6, 2016, Judge Michael A. Anello of the United States District Court for the Southern District of California denied defendants' motion for summary judgment in a securities class action ...
By Shearman & Sterling LLP
On November 22, 2019, Judge Jeffrey J. Helmick of the United States District Court for the Northern District of Ohio dismissed a putative class action asserting claims under Sections 10(b) and...
By John M. Beahn, Robert LaRussa
The U.S. government undertook several recent actions that will greatly increase its oversight of U.S. supply chains in a number of key business sectors,...
By Shearman & Sterling LLP
On November 19, 2019, Judge William M. Campbell of the United States District Court for the Middle District of Tennessee granted in part and denied in part motions to dismiss a putative class action..
By Jay Baris, Nathan Greene, Thomas Majewski, Matthew Kutner
In a Risk Alert dated November 7, 2019, the SEC's Office of Compliance Inspections and Examinations reminded investment company advisers and boards that examiners are looking carefully at how...
By Shearman & Sterling LLP
On November 15, 2019, Judge Denise Cote of the United States District Court for the Southern District of New York denied a motion seeking to revive claims...
By Shearman & Sterling LLP
On November 15, 2019, Judge Robert F. Rossiter, Jr. of the United States District Court for the District of Nebraska dismissed a putative class action brought by investors...
By Shearman & Sterling LLP
Over the past several years, companies have increasingly used their proxy statements to communicate how their boards have exercised oversight over key matters.
By George Casey, Scott Petepiece, Richard Fischetti, Alan Goudiss, K. Mallory Brennan
Following Corwin v. KKR Financial Holdings and other Delaware cases that have reinforced the standards that stockholder suits must meet to survive dismissal, would-be litigants have increasingly...
By Shearman & Sterling LLP
On November 13, 2019, Judge Leo T. Sorokin of the United States District Court for the District of Massachusetts dismissed a putative securities class action involving claims brought under Sections 10(b) and 20(a).
By Shearman & Sterling LLP
Two facts may come as a surprise about the U.S. Securities and Exchange Commission's existing investment adviser advertising rule: that it literally fits on one page,...
By Shearman & Sterling LLP
On November 4, 2019, the U.S. Securities and Exchange Commission (SEC) proposed amendments to rules governing investment adviser advertisements and payment to solicitors under the Investment Advisers Act.
By Donna Parisi, Geoffrey Goldman, Azam Aziz, Jennifer Oosterbaan
As a further step towards the implementation of its security-based swap regime, the Securities and Exchange Commission (SEC) has adopted a number of long-awaited capital, margin and segregation...
By Matthew Readings, Elvira A. Rodriguez, Geert Goeteyn, Mathias Stöcker, Simon Thexton, Agostino Bignardi
Partners Matthew Readings (London-Antitrust), Elvira Aliende Rodriguez and Geert Goeteyn (both Brussels-Antitrust); counsel Mathias Stöcker (Frankfurt-Antitrust);
By Shearman & Sterling LLP
On October 24, 2019, Judge Charles T. Lee of the Connecticut Superior Court granted a motion to strike claims alleging violations of Sections 11, 12(a) and 15 of the Securities Act of 1933 ...
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