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Shearman & Sterling LLP
The Complaint alleged that defendants falsely represented the progress and effectiveness of the Company's solid-state batteries and relied on two publications to support their claims.
Cadwalader, Wickersham & Taft LLP
In a parting statement, Commissioner Elad L. Roisman praised the SEC staff and said it was a privilege to serve as a "temporary steward" of the SEC and its mission.
Cadwalader, Wickersham & Taft LLP
The SEC issued an order approving FINRA amendments to margin requirements for Covered Agency Transactions.
Cadwalader, Wickersham & Taft LLP
The United States Court of Appeals for the District of Columbia Circuit ("D.C. Circuit") denied a petition by Intercontinental Exchange, Inc. ("ICE")...
Primmer Piper Eggleston & Cramer
Last month, the Financial Crimes Enforcement Network (FinCEN) issued a Notice of Proposed Rulemaking (NPRM) implementing the "beneficial ownership information" (BOI)...
Bryan Cave Leighton Paisner LLP
A recent Delaware Chancery Court decision highlights the liability risks faced by directors and sponsors of special purpose acquisition companies and the importance of robust disclosure in protecting against those risks.
Mintz
Data Privacy Week kicked off with a major message for US publicly-traded companies: the Securities and Exchange Commission will be looking at cybersecurity.
Kramer Levin Naftalis & Frankel LLP
Judge William H. Orrick of the Northern District of California recently denied a motion to dismiss the Securities and Exchange Commission's (SEC's) first insider trading case charging a defendant with "shadow trading."
Ropes & Gray LLP
In our October Alert, we wrote about the House budget reconciliation bill, H.R. 5376, called the Build Back Better bill (the "Bill").
Benesch Friedlander Coplan & Aronoff
The last time DSOs reported a lower volume was  in March 2021, when 40% were open but with lower patient volumes than  usual.
Seward & Kissel
SEC-registered investment advisers ("advisers") must submit an annual updating amendment ("annual amendment") to their Form ADV within 90 days after the end of their fiscal year.
Cooley LLP
Corp Fin has made it official—no more courtesy copies. Even with EDGAR filings, firms often provide "courtesy copies" of registration statements, marked copies...
Seward & Kissel
On January 5, 2022, Parthenon Capital Partners announced that it will acquire RSM US Wealth Management LLC.
Cooley LLP
Although there is an SEC open meeting scheduled for this week, the commissioners won't be taking up any proposals from Corp Fin at that meeting (see the agenda).
Allen Matkins Leck Gamble Mallory & Natsis LLP
The California Secretary of State's website provides certain information with respect to a wide range of domestic and foreign entities registered to transact intrastate business, ...
Cadwalader, Wickersham & Taft LLP
The technology allows a member firm to institute an automated block on traders at the member firm in stocks that the member firm has identified as "hard to borrow."
Cadwalader, Wickersham & Taft LLP
FINRA amended its rules on reimbursement rates for incurred expenses in processing and forwarding proxy and other issuer-related materials.
Cadwalader, Wickersham & Taft LLP
The Divisions clarified that an issuer should allow shareholders to present proposals using alternative means for the 2022 proxy season.
Brownstein Hyatt Farber Schreck, LLP
NFTs are one of the hottest new technology trends of this year. An NFT—or Non-Fungible Token—is a digital certificate, typically encrypted and verifiable on the blockchain.
Jones & Keller PC
The coronavirus outbreak may have made it easy to miss several significant legal developments unfolding in international business.
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