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Showing 36 out of 99 results
20 March 2024
SEC Takes Action Against ‘AI Washing,’ Fines Two Investment Advisers for Misrepresenting Artificial Intelligence Use
On March 18, the Securities and Exchange Commission (SEC) announced that it settled charges against two investment advisers, Delphia (USA) Inc. and …
23 February 2024
Diversity in the Boardroom: Full Fifth Circuit Plans to Rehear Challenge to the SEC Approval of Nasdaq Board Diversity Rules
The Fifth Circuit has vacated the opinion we discussed in our Oct. 30, 2023, client alert Diversity in the Boardroom: Fifth Circuit Rejects Challenge to …
8 February 2024
SEC Adopts Final Rules Regarding SPAC IPOs and SPAC Business Combinations
On Jan. 24, 2024, the Securities and Exchange Commission (SEC) adopted final rules that significantly expand disclosure and other requirements for …
3 January 2024
Corporate Governance: 2023 Year-End Review
Since Kramer Levin issued its Corporate Governance: 2023 Midyear Review, there has been a growing focus on the criminalization and prosecution of …
12 December 2023
Second Circuit Narrows SEC Disgorgement Powers and Deepens Circuit Split
In a significant recent decision, Securities and Exchange Commission v. Govil,[1]the Second Circuit substantially narrowed the scope of the Securities …
2 November 2023
Reexamining the Enforceability of Forum-Selection Provisions
Forum-selection provisions have become an increasingly common tool for managing corporate litigation risks. By including these provisions in their …
30 October 2023
Diversity in the Boardroom: Fifth Circuit Rejects Challenge to the SEC Nasdaq Board Diversity Rules; En Banc Petition Quickly Filed
The U.S. Court of Appeals for the Fifth Circuit (Court) recently rejected challenges to Nasdaq’s “Board Diversity” framework. Those …
26 October 2023
SEC Adopts Amendments to Rules Governing Beneficial Ownership Reporting
On Oct. 10, the U.S. Securities and Exchange Commission (SEC) adopted amendments to the rules governing beneficial ownership reporting under Sections …
20 October 2023
New York District Court Holds Late 13D Filing Can Lead to Private Damages Under Section 10(b)
On Sept. 29, 2023, Southern District of New York Judge Andrew L. Carter issued a decision denying Elon Musk’s motion to dismiss a securities fraud …
11 October 2023
DOJ Announces New Mergers and Acquisitions Safe Harbor Policy for Voluntary Self-Disclosures
On Oct. 4, 2023, in remarks delivered to the Society of Corporate Compliance and Ethics’ 22nd Annual Compliance & Ethics Institute, Deputy …
9 October 2023
Supreme Court Grants Certiorari to Resolve Circuit Split on Whether SEC Disclosure Rule Triggers Section 10(b) Liability
On Sept. 29, 2023, the U.S. Supreme Court granted certiorari in Macquarie Infrastructure Corp. v. Moab Partners, L.P.[1] to review a decision by the …
11 July 2023
Corporate Governance: 2023 Midyear Review
The public and private focus on corporate governance continued apace in the first half of 2023. In recent months, there were notable developments in …
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