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SCOTUS Limits Certain 10(b) Claims Based on Violations of Item 303

In a unanimous decision issued on Friday, the U.S. Supreme Court held that a corporation’s failure to disclose information regarding known trends or uncertainties, required by SEC regulation, cannot be the basis for private...more

SCOTUS to Resolve Circuit Split on 10(b) Claims Based on Violations of Item 303

Securities lawyers are familiar with Item 303 of Regulation S-K, which calls for companies to disclose in the Management Discussion and Analysis (“MD&A”) section of an annual report “known trends or uncertainties that have...more

Removing The Slack On Direct Listings: The Ninth Circuit Expands Standing In Favor Of Investors Who Bring Class Actions Related To...

Strict liability is the “strong medicine” that the federal securities laws impose for misleading statements made in connection with initial public offering documents. That strict liability regime attracts a steady stream of...more

The Supreme Court Will Decide Courts’ Authority to Order Disgorgement in SEC Enforcement Cases

On November 1, 2019, the United States Supreme Court granted a writ of certiorari in Liu v. SEC, No. 18-1501, to address whether the Securities and Exchange Commission may obtain disgorgement in civil injunctive actions filed...more

Lucia Leaves Many Important Questions Unanswered

In Lucia v. U.S. Securities and Exchange Commission, Justice Elena Kagan, writing for a six-justice majority, presents the U.S. Supreme Court’s decision as both narrow and uncomplicated. “The sole question” the court chose to...more

Supreme Court Narrows Dodd-Frank Definition of Whistleblower

On February 21, 2018, the Supreme Court held that to sue under the anti-retaliation provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”), a person must first report a violation of...more

In re Lions Gate Entertainment Securities Litigation: Court Rejects Securities Claims Based on Company’s Decision Not to Disclose...

In a January 22, 2016 decision, a federal court in New York dismissed federal securities law claims against Lions Gate Entertainment and several of its senior executives based on the company’s decision not to disclose that it...more

Believe It or Not? In Omnicare, the Supreme Court Considers the Standard of Liability for Statements of Opinion

Americans take as given the right to hold and express opinions. So it may come as a surprise to many that the federal securities laws impose civil liability for statements of opinion. It may be even more surprising that...more

California Lawyer 2014 Roundtable Series: Securities

Executive Summary - In private securities litigation, all eyes are on the U.S. Supreme Court hearing set for March on Halliburton Co.’s appeal challenging the longstanding fraud on-the-market doctrine, which underlies...more

Insider Trading Annual Review - 2012

In This Issue: Overview Of Insider Trading Law; 2012 Enforcement activity; Galleon Update; Expert Network Cases; What Does Cooperation Buy You?; Global Trading, Global Enforcement; Legislative Reform; 10b5-1 Plans: Not...more

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