News & Analysis as of September 22, 2024

Securities Exchange Act › Mining

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The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +

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Second Circuit Summarily Affirms District Court's Dismissal Of Certain Securities Fraud Claims Against Mining Company, But Vacates...

A&O Shearman on 8/12/2020

On August 6, 2020, the United States Court of Appeals for the Second Circuit affirmed in a summary order the judgment of the district court that granted defendants’ motion to dismiss certain claims in a putative securities...more

SEC Clarifies the Compliance Deadline for New Mining Disclosure Rules

Dorsey & Whitney LLP on 4/30/2020

On April 29, 2020, the SEC issued new Compliance & Disclosure Interpretations (the “New C&DIs”) that clarified the compliance deadline for many mining companies that file with the SEC on non-MJDS forms such as Form 10-K or...more

SEC Adopts New Disclosure Requirements for Mining Companies

Perkins Coie on 12/4/2018

The Securities and Exchange Commission recently adopted amendments to modernize the rules relating to property disclosure requirements for mining registrants, and Industry Guide 7 (Guide 7), under the Securities Act of 1933,...more

SEC Proposes Rules to Update Disclosure Requirements for Mining Registrants

Morrison & Foerster LLP on 6/22/2016

On June 16, 2016, the Securities and Exchange Commission (the SEC) issued a press release proposing rules to modernize disclosures for mining properties (the “Proposed Rules”), currently set forth in Item 102 of Regulation...more

This Week In Securities Litigation

Dorsey & Whitney LLP on 5/8/2015

The debate over waivers WKSI waivers and other similar provisions continued this week. The Commission granted a WKSI waiver to Deutsche Bank despite a guilty plea to criminal felony charges but only over the dissent of...more

Federal Court Strikes Down SEC Resource Extraction Rule

Foley Hoag LLP on 7/18/2013

On July 2, 2013, the United States District Court in Washington, D.C. invalidated Rule 13q-1 under the Securities Exchange Act of 1934 implementing the Dodd-Frank Act “resource extraction” provision requiring disclosure of...more

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