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Searching Content indexed under Corporate/Commercial Law by Sarah L. Levine ordered by Published Date Descending.
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1
Raising The Bar On "Willful" Securities Law Violations
The D.C. Circuit's decision is significant because certain SEC statutes require a finding of willfulness.
United States
16 May 2019
2
Supreme Court Expands Securities-Fraud Scheme Liability
The dissemination of false or misleading information can give rise to primary liability.
United States
4 Apr 2019
3
SEC's Focus On Retail Investors Targets Financial Conflicts Of Interest
The SEC staff continues to evaluate self-reports received prior to the initiative cut-off date.
United States
20 Mar 2019
4
SEC Highlights Need To Remediate ICFR Material Weaknesses
Disclosure alone is not sufficient; material weaknesses need to be actively remediated.
United States
18 Feb 2019
5
The Perils Of Well-Intentioned Deception: Insider Trading Case Highlights Challenges Facing Public Companies
Despite Equifax's use of a cover story to keep employees from learning it was the victim of a serious data breach, a then-employee allegedly figured it out and made illegal securities...
United States
17 Jul 2018
6
U.S. Supreme Court Holds SEC's Staff Appointments For Administrative Law Judge Unconstitutional
In Lucia v. SEC, the U.S. Supreme Court made things messy for the Securities and Exchange Commission ("SEC") by vindicating constitutional concerns over the agency's use of administrative law judges.
United States
9 Jul 2018
7
Supreme Court Dismisses Important Securities Case On Issue Likely To Arise Again
The parties in Leidos settled their dispute. The question presented by Leidos is sure to arise again, however, and the Justices have already signaled their interest in it.
United States
28 Jun 2018
8
U.S. Supreme Court Rules On State Court Jurisdiction Over Securities Act Lawsuits
In recent years, plaintiffs increasingly have challenged initial public offerings by filing securities class actions in state courts, especially California, due to an unsettled jurisdictional question.
United States
28 Mar 2018
9
Supreme Court Rules On Whistleblower Reporting To SEC
The U.S. Supreme Court unanimously held in Digital Realty Trust, Inc. v. Somers that whistleblowers must report alleged misconduct to the Securities and Exchange Commission...
United States
27 Feb 2018
10
New Tax Bill Will Rewrite Rules For Deducting Disgorgement Payments To SEC
U.S. tax reform will mean new rules for deducting fines, penalties, and other amounts, including disgorgement, paid to the Securities and Exchange Commission ("SEC").
United States
29 Dec 2017
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