On June 27, 2024, the Supreme Court of the United States issued its decision in SEC v. Jarkesy, holding that the Securities and Exchange Commission (“SEC”) must prosecute securities fraud before a federal court whenever it...more
7/12/2024
/ Administrative Law Judge (ALJ) ,
Article III ,
Consumer Financial Protection Bureau (CFPB) ,
Dodd-Frank ,
Federal Rules of Civil Procedure ,
Federal Rules of Evidence ,
FRCP 26(b)(1) ,
FRCP 45 ,
Jury Trial ,
SCOTUS ,
SEC v Jarkesy ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Fraud ,
Seventh Amendment
On October 13, 2023, the U.S. Securities and Exchange Commission (the “SEC”) adopted final rules requiring the reporting and disclosure of short sale trade data information. New Rule 13f-2 implements new obligations on...more
10/19/2023
/ Activist ,
Consolidated Audit Trail ,
Disclosure Requirements ,
Dodd-Frank ,
Final Rules ,
Investment Management ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Shareholders ,
Short Sales