Bradley Klein on Securities and Exchange Commission (SEC)

Inside the Courts – An Update From Skadden Securities Litigators - May 2024

Spotlight - Macquarie Ruling Raises the Bar for Securities Fraud Claims - Key Points - - On April 12, 2024, the U.S. Supreme Court unanimously reversed and vacated the Second Circuit’s decision in Macquarie...more

5/23/2024 / Acquisitions , Commercial Litigation , Cryptocurrency , Entertainment Industry , Financial Institutions , Healthcare , Life Sciences , Macquarie Infrastructure Corp v Moab Partners LP , Media , Mergers , Publicly-Traded Companies , Real Estate Market , Retail Market , SCOTUS , Securities and Exchange Commission (SEC) , Securities Litigation , Securities Regulation

Inside the Courts – An Update From Skadden Securities Litigators - February 2024

Securities Class Actions Show No Signs of Slowing in 2024 - Key Points - While the volume of securities class actions filings has remained consistently elevated over the past several years, the composition of the class...more

3/5/2024 / Class Action , Corporate Governance , Digital Assets , Educational Institutions , Energy Sector , Entertainment Industry , Financial Services Industry , Healthcare , Life Sciences , Macquarie Infrastructure Corp v Moab Partners LP , Media , Publicly-Traded Companies , Retailers , SCOTUS , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Litigation , Securities Regulation

Inside the Courts – An Update From Skadden Securities Litigators - December 2023

The U.S. Supreme Court will likely decide before the end of its current term whether the failure to make a disclosure pursuant to Item 303 of Regulation S-K can serve as the basis for a securities fraud claim under Section...more

Inside the Courts – An Update From Skadden Securities Litigators - September 2023

Two Sides of the Same Coin: Analyzing the Recent Ripple and Terraform Decisions - Key Points - - In July 2023, Judges Torres and Rakoff in the Southern District of New York issued rulings on whether digital asset sales...more

9/15/2023 / Acquisitions , Enforcement Actions , Entertainment Industry , Financial Institutions , Healthcare , Life Sciences , Media , Mergers , Securities and Exchange Commission (SEC) , Securities Litigation , Technology Sector

Inside the Courts – An Update From Skadden Securities Litigators - May 2023

Supreme Court Hears Argument on Traceability Requirement in Circuit-Split Slack v. Pirani - Key Points - - Before the end of June, the U.S. Supreme Court is expected to issue a decision in a high-profile securities case...more

SCOTUS Unanimously Endorses Early Challenge to Agency Proceedings, Limiting Enforcement Agency Power

The Supreme Court has made it easier to challenge the constitutionality of administrative tribunals housed at federal agencies. On April 14, 2023, the Court unanimously held in Axon Enterprise, Inc. v. Federal Trade...more

4/18/2023 / Constitutional Challenges , Enforcement , Enforcement Actions , Federal Trade Commission (FTC) , SCOTUS , Securities and Exchange Commission (SEC)

Inside the Courts – An Update From Skadden Securities Litigators - March 2023

Circuits Split Over Whether Targeting Is Necessary for Seller Liability - Key Points - - While courts have long held that solicitations must be tailored to a particular audience to precipitate statutory seller liability,...more

DOJ Doubles Down on Efforts To Incentivize Early Self-Reporting and Cooperation

On January 17, 2023, the U.S. Department of Justice (DOJ) announced revisions to the Criminal Division’s Corporate Enforcement Policy. The revisions follow Deputy Attorney General (DAG) Lisa Monaco’s September 2022...more

1/24/2023 / Anti-Corruption , Anti-Money Laundering , Commodities , Corporate Governance , Corporate Misconduct , Cross-Border , Department of Justice (DOJ) , Economic Sanctions , Enforcement Actions , False Claims Act (FCA) , Investigations , Securities and Exchange Commission (SEC) , Self-Reporting , White Collar Crimes

Inside the Courts – An Update From Skadden Securities Litigators - December 2022

Cornerstone Research reports that during the first six months of 2022, plaintiffs filed 110 securities class actions, a pace that is generally in line — 2.8% higher — with what we saw in the second half of 2021. Looking...more

12/5/2022 / Class Action , Coronavirus/COVID-19 , Corporate Counsel , Corporate Sales Transactions , Cybersecurity , Enforcement Actions , FinTech , Futures , Healthcare , Initial Public Offering (IPO) , Life Sciences , Popular , Securities and Exchange Commission (SEC) , Securities Fraud , Securities Litigation , Stock Options

Inside the Courts – An Update From Skadden Securities Litigators - September 2022

Derivative Litigation Eighth Circuit Affirms Dismissal of Derivative Securities Action - Carpenters’ Pension Fund of Ill. v. Neidorff, No. 20-3216 (8th Cir. 2022) - Following Centene Corporation’s merger with Health Net,...more

9/12/2022 / Board of Directors , Breach of Duty , Corporate Counsel , Derivative Suit , Fiduciary Duty , Materiality , Securities Act of 1933 , Securities and Exchange Commission (SEC) , Securities Exchange Act , Shareholder Litigation , Shareholders , SLUSA

Inside the Courts – An Update From Skadden Securities Litigators - May 2022

This quarter’s issue includes summaries and associated court opinions of selected cases principally decided between February and April 2022. Cryptocurrency Derivative Litigation Fiduciary Duties – Bylaws Material...more

5/24/2022 / Acquisitions , Coronavirus/COVID-19 , Material Misstatements , Mergers , Pleading Standards , PSLRA , Scienter , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Fraud , Securities Litigation

Inside the Courts – An Update From Skadden Securities Litigators - October 2021

This quarter’s issue of Inside the Courts — An Update From Skadden Securities Litigators includes summaries and associated court opinions of selected cases principally decided in May-August 2021....more

10/22/2021 / Breach of Duty , Corporate Counsel , Derivative Suit , Enforcement Actions , Fiduciary Duty , Initial Public Offering (IPO) , Loss Causation , Mergers , Pleading Standards , PSLRA , Securities and Exchange Commission (SEC) , Securities Fraud , Securities Litigation , SLUSA , Statute of Limitations , Statute of Repose

Inside the Courts - June 2021

Books and Records - Court of Chancery Orders Production of Emails, Denies Production of Privileged Communications in Books and Records Action - Emps.’ Ret. Sys. of R.I. v. Facebook, Inc., C.A. No. 2020-0085-JRS (Del. Ch....more

6/9/2021 / Board of Directors , Books & Records , Breach of Duty , Fiduciary Duty , Pleading Standards , PSLRA , Putative Class Actions , Scienter , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Fraud , SLUSA

Inside the Courts – An Update From Skadden Securities Litigators

This quarter’s issue includes summaries and associated court opinions of selected cases principally decided between July and October 2020. Class Certification - Cryptocurrency – Definition of a Security - Derivative...more

DOJ and SEC Issue Second Edition of the FCPA Resource Guide

On July 3, 2020, the U.S. Department of Justice (DOJ) and U.S. Securities and Exchange Commission (SEC) jointly released the second edition of the “Resource Guide to the U.S. Foreign Corrupt Practices Act,” which was...more

7/17/2020 / Accounting Controls , Acquisitions , Co-Conspirators , Compliance , Conspiracies , Department of Justice (DOJ) , Disgorgement , Due Diligence , FCPA Resource Guide , Foreign Corrupt Practices Act (FCPA) , Foreign Official , Instrumentality , Intent , Meals-Gifts-and Entertainment Rules , Mergers , Publicly-Traded Companies , Securities and Exchange Commission (SEC) , Third Party Payments , Travel

Compliance in a Time of Crisis

Addressing the Evolving Risks - Warren Buffett said that “only when the tide goes out do you discover who’s been swimming naked.” Buffett was not talking about compliance programs in a time of crisis, but his wisdom applies...more

Inside the Courts – An Update From Skadden Securities Litigators - April 2020

This issue includes summaries and associated court opinions of selected cases principally decided between October 2019 and January 2020. ...more

4/6/2020 / Aiding and Abetting , Books & Records , Breach of Duty , Bylaws , CEOs , Civil Liability , Collateral Estoppel , Criminal Convictions , DE Supreme Court , Demand Futility , Derivative Suit , Dismissals , Enforcement Actions , Exchange-Traded Products , False Statements , Federal Pleading Requirements , Fiduciary Duty , Initial Public Offering (IPO) , Injunctions , Investment Adviser , Item 303 , Lack of Particularity , Mergers , Misleading Statements , Misrepresentation , Notice Requirements , Price-Fixing , PSLRA , Pyramid Schemes , Registration Statement , RICO , Scienter , Scope of Discovery Requests , Section 11 , Section 220 Request , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Fraud , Securities Litigation , Securities Violations , Shareholder Litigation , Shareholder Votes , Summary Judgment

Cross-Border Investigations Update - September 2019

This issue of Skadden’s semiannual Cross-Border Investigations Update takes a close look at recent cases, regulatory activity and other key developments, including a review of the first year of GDPR enforcement, analysis of...more

10/3/2019 / Anti-Money Laundering , Appeals , Blocking Statutes , Bribery , CFTC , China , CLOUD Act , Communication Restrictions , Compliance , Conspiracies , Cooperation Agreement , Crime (Overseas Production Orders) Act 2019 (the COPO Act) , Criminal Prosecution , Cross-Border Transactions , Cryptocurrency , Cybersecurity , Deferred Prosecution Agreements , Denial of Certiorari , Department of Justice (DOJ) , Deutsche Bank , Disclosure , Dodd-Frank , Economic Sanctions , Enforcement Actions , EU , EURIBOR , Exports , Extradition , Extraterritoriality Rules , Financial Conduct Authority (FCA) , Financial Records , Foreign Corrupt Practices Act (FCPA) , Foreign Exchanges , France , Fraud , General Data Protection Regulation (GDPR) , Government Investigations , Hackers , Hungary , Imports , India , Indictments , Information Sharing , Iran Sanctions , Israel , Lithuania , Money Laundering , Morrison v National Australia Bank , Multinationals , Office of Foreign Assets Control (OFAC) , Opioid , Pharmaceutical Industry , Popular , Rate-Rigging , SCOTUS , Securities and Exchange Commission (SEC) , Serious Fraud Office (SFO) , Spoofing , Subpoenas , Swiss Supreme Court , Switzerland , Tax Crimes , Tax Evasion , Tax Treaty , Turkey , UK , United States , Venezuela , Wal-Mart

Cross-Border Investigations Update - January 2019

This issue of Skadden’s semiannual Cross-Border Investigations Update takes a close look at recent cases, regulatory activity and other key developments, including DOJ guidance on the use of corporate monitors in criminal...more

1/7/2019 / Anti-Bribery , Anti-Corruption , Anti-Money Laundering , Appeals , Attorney-Client Privilege , Brazil , Bribery , BSA/AML , China , Corporate Counsel , Criminal Conspiracy , Criminal Convictions , Criminal Investigations , Cross-Border , Cryptocurrency , Cyber Attacks , Cybersecurity , Data Privacy , Data Protection Acts , Department of Justice (DOJ) , Enforcement Actions , EU , Exports , Extraterritoriality Rules , FATCA , Financial Crimes , Foreign Corrupt Practices Act (FCPA) , Forex , France , Government Investigations , Guilty Pleas , Hackers , Imports , International Litigation , Iran , Legal Professional Privilege , Libor , Litigation Privilege , Market Manipulation , Money Laundering , Multi-Jurisdictional Litigation , Multinationals , NYDFS , Privileged Communication , Russia , Sanction Violations , Securities and Exchange Commission (SEC) , Securities Fraud , SFO , Spoofing , Tax Fraud , Traders , UK , Unexplained Wealth Orders (UWOs) , United Arab Emirates (UAE) , Yates Memorandum

Second Circuit Curtails Use of Conspiracy and Complicity Statutes in FCPA Actions

In a decision with implications for the extraterritorial reach of the Foreign Corrupt Practices Act (FCPA), the U.S. Court of Appeals for the Second Circuit held in United States v. Hoskins that a person may not “be guilty as...more

9/4/2018 / Aiding and Abetting , Appeals , Criminal Conspiracy , Criminal Prosecution , Department of Justice (DOJ) , Enforcement Actions , Extraterritoriality Rules , Foreign Corrupt Practices Act (FCPA) , Non U.S. Person , Physical Presence Test , Securities and Exchange Commission (SEC)

China’s ‘One Belt, One Road’ Initiative Creates Opportunities and Regulatory Challenges

In a time of shifting opinions on the benefits of globalization, China’s “One Belt, One Road” initiative (OBOR) offers an unexpected bright spot for multinational companies able and willing to participate in this...more

"China and the Foreign Corrupt Practices Act"

Recent U.S. Department of Justice (DOJ) policies on corporate crime prosecutions, coupled with the Chinese government’s robust anti-corruption campaign, are proving challenging for U.S. corporations with business operations...more

7/5/2016 / Accounting , Anti-Bribery , Anti-Corruption , China , Corporate Counsel , Corporate Crimes , Cross-Border , Department of Justice (DOJ) , Enforcement Actions , Foreign Corrupt Practices Act (FCPA) , GlaxoSmithKline , Government Investigations , Multinationals , Securities and Exchange Commission (SEC) , White Collar Crimes , Yates Memorandum

"Eleventh Circuit Addresses Scope of FCPA Coverage of Activity Involving State-Controlled Business Enterprises"

On May 16, 2014, a three-judge panel of the U.S. Court of Appeals for the Eleventh Circuit provided the first appellate court interpretation of the reach of the U.S. Foreign Corrupt Practices Act (FCPA) to conduct involving...more

5/21/2014 / Appeals , Controlled Foreign Corporations , Department of Justice (DOJ) , Foreign Corrupt Practices Act (FCPA) , Foreign Official , Instrumentality , Securities and Exchange Commission (SEC) , Telecommunications , Terra Telecommunications

"Government Enforcement: Aggressive Efforts Continue Around the Globe"

Government enforcement efforts in 2013 produced major settlements of matters relating to the global financial crisis, high-profile insider trading convictions, near-record amounts of FCPA settlements, and new pledges of...more

1/29/2014 / Compliance , Cross-Border , Department of Justice (DOJ) , Enforcement Actions , FIRREA , Foreign Corrupt Practices Act (FCPA) , Fraud , IRS , Securities and Exchange Commission (SEC) , Settlement , Tax Evasion

Bradley Klein

Skadden, Arps, Slate, Meagher & Flom LLP

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