Securities and Exchange Commission (SEC), Arbitration, Securities Litigation

June 2025 Insurance Update

Rivkin Radler LLP on 6/24/2025

We’ve selected five recent insurance decisions for this month’s update. Foreign insurers will be pleased with the Second Circuit’s revamped view of the New York Convention. In finding that the international treaty is...more

FINRA Dispute Resolution Update: The More Things Change . . .

Bressler, Amery & Ross, P.C. on 3/21/2022

As it was for the rest of the world, 2021 was an interesting year for the Financial Industry Regulatory Authority (FINRA). Originally published in American Bar Association’s Securities Litigation section - March 17th,...more

A Sad Story Of Regulators Simultaneously Doing Too Much And Too Little

UB Greensfelder LLP on 10/21/2021

Not too long ago, a single, small BD experienced a bizarre combination of regulatory overzealousness and regulatory indifference, by the SEC and FINRA, respectively. These things, sadly, happen all the time, but what...more

Overview Of Cases Of Particular Interest Currently Pending Before The Supreme Court Of The United States

A&O Shearman on 1/14/2020

Looking ahead, we preview cases currently pending before the Supreme Court—which have already been accepted for review by the Court—that may be of particular interest to readers of the Need-to-Know Litigation Weekly. These...more

Blog: Mandatory arbitration shareholder proposal goes to court—as Chair Clayton suggested

Cooley LLP on 3/26/2019

You might remember this no-action letter to Johnson & Johnson granting relief to the company if it relied on Rule 14a-8(i)(2) (violation of law) to exclude a shareholder proposal requesting adoption of mandatory shareholder...more

No Action Relief Prompts Clarification from SEC Chair on Mandatory Arbitration

Stinson - Corporate & Securities Law Blog on 2/13/2019

In a novel sequence of events, SEC Chair Jay Clayton issued a statement on February 11, 2019 expressing the Commission’s non-view on mandatory shareholder arbitration provisions implemented by publicly-listed companies. ...more

Johnson & Johnson May Exclude Shareholder Proposal for Binding Arbitration on Securities Claims

Dorsey & Whitney LLP on 2/12/2019

On February 11, 2019, the Staff of the Division of Corporation Finance granted no-action relief permitting Johnson & Johnson to omit a a shareholder proposal from its proxy statement relating to mandatory arbitration of...more

SEC consumer advocates launch misguided preemptive attack on arbitration clauses

Ballard Spahr LLP on 8/30/2018

Having lost the battle to prohibit class action waivers in consumer arbitration agreements, consumer advocates have embarked on a new crusade....more

Coalition of State Treasurers Oppose Mandatory Arbitration

Mayer Brown Free Writings + Perspectives on 7/17/2018

Although Securities and Exchange Commission Chair Clayton has made clear that the Commission does not intend to focus on addressing mandatory arbitration provisions in the near term, the controversy regarding action in this...more

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