Articles

Administrative law

Lucia The End of SEC ALJ’s
The Supreme Court Considers The Fate of SEC ALJs
 

Aiding and Abetting

The Line between Primary and Secondary Liability in Private Securities Fraud Cases
Securities litigation & Enforcement institute 2007
Stoneridge Slides
 

Causation

Dura and Loss Causation
 

Central Bank Decision

Decision in Central Bank
 

Class and Derivative Suits

Supreme Court Rejects American Pipe Tolling For Class Actions
Halliburton II
Halliburton I
SLUSA
Securities Class Actions: Current & Emerging Issues, 2008
Tellabs and Pleading Scienter
The Rise of Scheme Liability
 

Compliance

Deputy AG On Compliance And Lawyer’s Fiduciary Duties
Theranos: Vision, Effort – No Compliance Ends with DOJ, SEC
 

Cooperation Standards

New Standards: Substituting Avoidance for Waiver
The New DOJ Cooperation Standards
Shakespeare And DOJs New Guidelines On Corporate Cooperation
New DOJ Principles
The McNulty Memo – Update
Cooperation Standards
 

Anti-Corruption Digest

Digest, June 2018
Digest, May 2018
Digest, April 2018
Digest, March 2018
Digest, February 2018
Digest, January 2018
Digest, December 2017
Digest, October 2017
Digest, September 2017
Digest, August 2017
Digest, July 2017 
Digest, June 2017
 

Criminal securities cases

No knowledge defense
 

CTFC

Two Significant Losses for the CFTC
Court Delimits CFTC’s Enforcement Reach
 

Directors & Officers Liability

Trends in Class and Derivative Suits
SEC Trends Impacting

 

Disclosures

Disclosing Climate Change
 

Financial statement fraud

Securities Regulation & Law Report
 

FCPA

The Origins of the FCPA
DOJ/SEC Guide
FCPA Trends: Towards Compliance
New Era of FCPA Enforcement
 

Insider Trading

Marketing final salman (Dec. 2016)
Presentation re Future of Insider Trading Supreme Court and Salman – ZED Edits (Dec. 2016)
The Continuing Impact of Newman
The Newman Decision
Is the DOJ and SEC War on Insider Trading Rewriting the Rules?
The “Plus Factor” Rule
 

Internal Investigations

Current & Emerging Issues Re Internal Investigations
 

Investment Advisers

SEC Enforcement Q&A On Its Cooperation Initiative for Investment Advisers
 

Market Crisis

Implications of the Crisis: Pt. I, DOJ; Pt. II, SEC.
 

Parallel Proceedings

Issues re Parallel Investigations
 

Rule 10b-5-1 Plans

Safe Harbor Rule 10b5-1 Trading Plans For Executives May Not Be “Safe” Anymore
 

Sarbanes Oxley Act

Is there a new sherif in corporateville?
 

Scienter

Ninth Circuit Rejects Decisions of Five Others: Exchange Act Section14(e) Does Not Require Scienter
Rise of Scheme Liability
 

SECActions Trend Analysis

Supreme Court Term 2009
Insider Trading
 

SEC Investigations

Deadlines and SEC Enforcement
Trends in SEC Enforcement, 2008
The New SEC Enforcement Manual
The SEC, Self-Reporting and Cooperation
Representing a Client in an SEC Investigation: The Basics
SEC Enforcement Highlights of 2006 and Trends for 2007
Evolving Issues in Parallel SEC and DOJ Securities Investigations
 

SEC Enforcement

New Enforcement Doctrine
SEC Enforcement Trends 2011
Bank of America
SEC Enforcement Trends, 2009
SEC v. Bank of America
 

Secondary Liability

Stoneridge Decision
Supreme Court Arguments in Stoneridge
The Line between Primary and Secondary Liability in Private Securities Fraud Cases
Supreme Court & secondary liability
Who does the Catch-all antifraud provision catch?
 

Stock Option Backdating

Stock Option Backdating Seminar
 

Tellabs Decision

A New Split Emerging On Pleading A Strong Inference of Scienter After Tellabs?
Decision by S. Ct.
Tellabs and Pleading Scienter
Tellabs Slides
 

Virtual currencies

Virtual Currencies, the Regulators and the Future

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