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Securities and Exchange Commission (SEC) › Policy Terms › Investigations

Wiley Rein LLP

SEC Tolling Request Not a Securities Claim Against Insured Company Under D&O Policy

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A Delaware Superior Court, applying Delaware law, has held that the United States Securities and Exchange Commission’s (“SEC”) request to toll the statute of limitations did not constitute a “Securities Claim” under a D&O...more

Wiley Rein LLP

SEC Investigation of Company Not a “Claim” or “Securities Claim”

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Applying New York law, the United States District Court for the Southern District of New York has held that an SEC investigation of the insured company did not constitute a “Securities Claim,” where the term expressly...more

Carlton Fields

Related Decisions: Three Recent Cases Emphasize Breadth of “Related Wrongful Acts”

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Third-party liability policies often include aggregation clauses. As the name suggests, these clauses aggregate “related claims” or “interrelated wrongful acts” into one claim or occurrence....more

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