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Goodwin Procter LLP
On March 27, 2024, the US Securities and Exchange Commission (SEC) adopted amendments to Rule 203A-2(e) of the Investment Advisers Act of 1940...
Mayer Brown
Answering a precise question increasingly raised by securities fraud plaintiffs, the United States Supreme Court held in Macquarie Infrastructure Corp. v. Moab Partners that a failure to disclose information cannot support a private action under Rule 10b–5(b).
Kramer Levin Naftalis & Frankel LLP
On April 5, 2024, a federal jury in San Francisco returned a verdict in favor of the Securities and Exchange Commission (SEC)...
Greenberg Glusker Fields Claman & Machtinger
On April 4, 2024, rather than waiting for the Eighth Circuit to issue a ruling on plaintiffs' pending emergency motion for an administrative stay of the SEC's final rule regarding the Enhancement...
WilmerHale
With political campaign activity ramping up as the fall elections approach, the Securities and Exchange Commission (SEC) has indicated it will continue stringent enforcement of Investment Advisers Act...
Holland & Knight
The U.S. Securities and Exchange Commission (SEC) is cracking down on how firms promote their artificial intelligence (AI) technologies to protect investors from falling victim to "AI-washing."
Mintz
On March 27, 2024, the SEC received a favorable—if at least somewhat split—decision when Judge Failla of the SDNY denied a motion by Defendants Coinbase...
Mayer Brown
On April 3, 2024, the US Securities and Exchange Commission ("SEC") brought its first enforcement action against a "stand-alone" SEC registered investment adviser...
Barnes & Thornburg
The headline from the recent U.S. Supreme Court decision in Macquarie Infrastructure Corp. v. Moab Partners LP is that failure to disclose information...
Mayer Brown
On August 24, 2023, the US Court of Appeals for the Second Circuit issued its decision in the Kirschner v. JPMorgan litigation saga, rejecting the plaintiff's...
Scarinci Hollenbeck LLC
Known as the "Supervision Rule," FINRA Rule 3110 requires brokerage firms to establish, maintain, and enforce a system to supervise the activities of their associated persons.
Bass, Berry & Sims
The U.S. Supreme Court has unanimously ruled that pure silence in MD&A statements are not actionable in shareholder securities fraud cases.
K&L Gates
On 17 April 2024, the Securities and Exchange Commission (SEC) Division of Examinations issued a risk alert entitled "Initial Observations Regarding Marketing Rule Compliance"...
Cadwalader, Wickersham & Taft LLP
Insider trading generally refers to the trading of a company's security based upon material non-public information ("MNPI") about that company. But a recent litigation victory by the U.S. Securities...
Lowenstein Sandler
On April 5, 2024, a jury found Matthew Panuwat civilly liable for insider trading in violation of federal securities laws in a first-of-its-kind "shadow trading" case (also referred to as "sympathy
Jones Day
Jurisdictions are requiring large corporations and other entities to report on the environmental risks they face and how their business operations impact the climate.
Proskauer Rose LLP
The SEC's new and proposed rules on cybersecurity and cyber-incident reporting will have a dual impact on private investment advisers and funds.
Cadwalader, Wickersham & Taft LLP
On March 6, 2024, the SEC finalized and adopted rules on climate-related disclosures for public companies, including foreign private issuers, that are less onerous than the original proposed rules published by the SEC two years ago...
Mayer Brown
The US Securities and Exchange Commission ("SEC") recently settled charges against five registered investment advisers for violations of Rule 206(4)-1 ("Marketing Rule") under the Investment Advisers Act of 1940...
Katten Muchin Rosenman LLP
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds.
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