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The MCDC Initiative: Round One Is Underway

The clock will strike on the first self-report deadline under the SEC’s Municipalities Continuing Disclosure Cooperation Initiative (the “MCDC Initiative”) at 12:00 a.m. EST on September 10, 2014. Under the MCDC Initiative,...more

9/10/2014 - Disclosure Requirements MCDC Municipal Securities Market SEC Underwriting

What’s The Opposite Of Rubber Stamping A Settlement? Meet Judge Kane In SEC v. Van Gilder.

Judge John L. Kane of the United States District Court for the District of Colorado is uninterested in oxymoronic gimmicks, that much is clear. In a fiery April 24, 2014 opinion, Judge Kane rejected settlements between the...more

4/30/2014 - Insider Trading Proposal for Settlement Rule 10(b) Rule 10b-5 SEC

SEC Speaks, Cuban Tweets

The leaders of the Securities and Exchange Commission addressed the public on February 21-22 at the annual SEC Speaks conference in Washington, D.C. The presentations covered an array of topics, but common themes included...more

2/26/2014 - Dodd-Frank Enforcement JOBS Act Mark Cuban SEC Securities Exchange Act

A Bird In The Hand Is Worth … Nothing If You Can’t Really Sell It

A pair of investment firms recently filed suit against Twitter in the Southern District of New York, alleging that Twitter had fraudulently refused to allow them to sell its private stock in advance of its much-anticipated...more

11/6/2013 - Fraud IPO Stocks Twitter

A Ponzi Of A Different Color

High profile schemes perpetrated by Bernie Madoff, Allen Stanford, Nevin Shapiro, and others have brought, or at least reinforced, a general understanding of the term “Ponzi scheme” into the public lexicon. But what,...more

9/2/2013 - Ponzi Scheme Securities Fraud

Making A Statement: The Two Faces Of Janus In The SDNY

Almost two years after the Supreme Court issued its momentous decision in Janus Capital Group, Inc. v. First Derivative Traders, 131 S. Ct. 2296 (2011), lower courts continue to reach significantly different conclusions...more

5/7/2013 - Investment Adviser Rule 10b-5 SEC

SEC Is “Here to Stay” On Insider Trading

It has been over three years since the SEC filed its insider trading charges against Galleon Management and Raj Rajaratnam. When that complaint was filed, the Director of the SEC’s Division of Enforcement, Robert Khuzami...more

12/11/2012 - Insider Trading SEC

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