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Searching Content indexed under Securities by Arnold & Porter ordered by Published Date Descending.
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1
The SEC's Crackdown On Insider Trading By Lawyers
Insider trading by lawyers and legal personnel is not a new phenomenon. However, a recent series of SEC insider trading actions charging senior lawyers in legal departments
United States
18 Sep 2019
2
SEC Announces Changes To Administration Of Shareholder Proposal No-Action Requests
On September 6, 2019, the SEC announced changes to how it will respond to companies that seek to exclude shareholder proposals from their proxy statements under Exchange Act Rule 14a-8.
United States
12 Sep 2019
3
Tenth Circuit Broadly Interprets Scheme Liability
On August 13, 2019, in Malouf v. Securities and Exchange Commission, the Tenth Circuit became the first circuit court to apply the United States Supreme
United States
9 Sep 2019
4
SEC Data Analysis in Insider Trading Investigations
Recent SEC enforcement actions charging senior lawyers at Apple and SeaWorld with insider trading provide reason to dust off company insider trading policies and assess whether updates
United States
23 Aug 2019
5
New York Justices Reach Inconsistent Results Post-Cyan On Automatic Discovery Stay
New York courts have taken varying positions in three recent decisions addressing whether defendants in Securities Act of 1933
United States
16 Aug 2019
6
SEC Proposes Amendments To Regulation S-K Disclosure
As part of its initiative to modernize and simplify the disclosure requirements of Regulation S-K, as contemplated by the Jumpstart Our Business Startups Act
United States
16 Aug 2019
7
SEC Data In Insider Trading Investigations
Recent U.S. Securities and Exchange Commission enforcement actions charging senior lawyers at Apple and SeaWorld
United States
8 Aug 2019
8
Inline XBRL Reminders for Large Accelerated Filers
Inline XBRL requires filers to embed XBRL data directly into an HTML document.
United States
2 Aug 2019
9
Global Anti-Corruption Insights: Summer 2019
The US Department of Justice and US Securities and Exchange Commission have announced over $1 billion in corporate settlements of Foreign Corrupt Practices Act matters so far this year.
Worldwide
29 Jul 2019
10
Settling SEC Enforcement Actions
This article discusses the Securities and Exchange Commission settlement process, focusing on key guiding principles that counsel should have in mind when negotiating with the SEC.
United States
17 Jul 2019
11
Post-Cyan Ruling On Discovery Stay
The opinion is unique because, unlike the other state court decisions, it interprets Cyan to apply the PSLRA's discovery stay to Securities Act suits in state courts.
United States
9 Jul 2019
12
The SEC's "Regulation Best Interest," Form CRS, And Investment Adviser Interpretations: Does The New Framework Actually Protect The Best Interest Of Customers And Clients?
On June 5, 2019, the US Securities and Exchange Commission approved the following new rules and interpretations aimed at clarifying the duties that broker-dealers and investment advisers owe to their retail customers and clients:
United States
3 Jul 2019
13
New Rules For Omitting Competitively Sensitive Information In SEC-Filed Material Contracts
The Fixing America's Surface Transportation Act of 2015, 129 Stat. 1312, mandated that the U.S. Securities and Exchange Commission modernize and simplify certain of its disclosure requirements.
United States
2 Jul 2019
14
Insider Trading's Personal Benefit Test One Year After Martoma
Other cases suggest that prosecutors may choose to avoid the challenges posed by the personal benefit test altogether.
United States
20 Jun 2019
15
The SEC Is Cracking Down On Insider Trading By Lawyers
A recent series of insider trading actions charging senior lawyers in legal departments of prominent public companies suggests that insider trading by lawyers may be on the rise.
United States
18 Jun 2019
16
Court Grants Post-Cyan Discovery Stay In State Court Securities Class Action
On May 15, 2019, a Connecticut Superior Court found that defendants in a claim under the Securities Act of 1933 were entitled to the mandatory discovery stay pending a motion to dismiss under the PSLRA ...
United States
17 Jun 2019
17
One Year Later: Regulators Issue Guidance To Financial Professionals And Firms About The Senior Safe Act
On May 23, 2019, the SEC, NASAA, and FINRA issued a fact sheet to provide guidance to financial professionals and firms about the Senior Safe Act and its immunity provisions, which were passed a year ago.
United States
10 Jun 2019
18
Federal Reserve Releases Proposal In Effort To Clarify "Control" Determinations
On April 23, 2019, the Board of Governors of the Federal Reserve System released a highly anticipated proposed rule aimed at simplifying and increasing the transparency of its rules relating to control determinations ...
United States
16 May 2019
19
SEC Scrutinizes Registered Investment Adviser's Statements to Investors About Due Diligence
On April 23, 2019, the SEC entered a settled Order Instituting Administrative and Cease-and-Desist Proceedings against Charter Capital Management, LLC, a former Florida-based SEC-registered investment adviser, ...
United States
7 May 2019
20
Streamlined Procedure For Confidential Treatment Extensions
On April 16, 2019, the SEC announced a short form application that streamlines the process for requesting an extension of a previously granted confidential treatment order.
United States
1 May 2019
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