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New House Bill Aims to Reduce Some Dodd-Frank Regulatory Burdens

On January 24, 2015, the U.S. House of Representatives passed a bill that loosens certain Dodd-Frank requirements and reduces the scope of the SEC’s regulatory authority over certain private equity firms, small businesses,...more

1/21/2015 - Dodd-Frank Emerging Growth Companies Financial Institutions Legislative Agendas Pending Legislation Private Equity Funds Regulatory Reform Small Business

Ninth Circuit Applies Heightened Pleading Standards for Loss Causation

On December 16, 2014, the Ninth Circuit affirmed the U.S. District Court of Arizona’s dismissal of a Section 10(b) class action against Apollo Education Group, Inc., a for-profit education company, and several of its officers...more

12/31/2014 - Class Action Corporate Counsel Dismissals For Profit Education Loss Causation Pleading Standards

Is Your Bank Stressed Out? OCC Follows Fed on Proposed Stress-Test Changes

On September 10, the Office of the Comptroller of the Currency (“OCC”) published proposed revisions to its information collecting regulations related to the Dodd-Frank Act’s “stress test” for large national banks and federal...more

9/17/2014 - Banks Compliance Dodd-Frank OCC Stress Tests

Patience is a Virtue: District Court Suggests that the SEC “Wait and See” Before Seeking Certain No-Admit, No-Deny Settlements

On June 18, 2014, Judge Victor Marrero of the U.S. District Court for the Southern District of New York approved the SEC’s no-admit, no-deny consent decrees in its insider trading case against CR Intrinsic Investors, LLC and...more

6/25/2014 - Consent Decrees Enforcement Enforcement Actions Insider Trading Neither Admit Nor Deny Settlements SEC SEC v Citigroup Settlement

The SEC Scores Another Admission: Scottrade Acknowledges That It Broke Recordkeeping Rules

Last week, Scottrade Inc. became the latest entity to admit wrongdoing in connection with settling SEC charges. In a January 29, 2014 administrative order, the brokerage firm not only agreed to a $2.5 million penalty, but...more

2/5/2014 - Enforcement Actions Recordkeeping Requirements Scottrade SEC

The Cop Is On The Beat: SEC Chair White Says The Agency Aims To Be “Everywhere”

In a recent speech to the Securities Enforcement Forum, SEC Chair Mary Jo White fleshed out the Commission’s plan to pursue all violations of federal securities laws, “not just the biggest frauds.” She also addressed the...more

10/24/2013 - Compliance Enforcement Fraud Mary Jo White SEC

Fannie And Freddie Shareholders To US: 2008 Government Takeover Of Mortgage Giants Good For The Country; Not So Much For Us

Can shareholders of a government-sponsored enterprise successfully challenge the constitutionality of a government takeover of the entity? ...more

6/18/2013 - Class Action Conservators Fannie Mae FHFA Freddie Mac Lenders Mortgages Shareholders Stocks

Another Securities Case For The Supreme Court. Next Up: Ponzi Scheme Cases

Agreeing to take up yet another securities case, the Supreme Court granted cert on January 18 in three related appeals arising out of the alleged multi-billion dollar Ponzi scheme involving R. Allen Stanford’s Stanford...more

1/31/2013 - Class Action Ponzi Scheme Private Securities Litigation Reform Act of 1995 SCOTUS SLUSA Stanford International Bank

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