News & Analysis as of

Disclosure Requirements Rule 10b-5 Form 10-K

BCLP

SEC Roasts Keurig for Claims Regarding Recycling of K-Cup Pods

BCLP on

On September 10, 2024, the SEC announced that it had charged Keurig Dr. Pepper for making incomplete, and therefore inaccurate, statements regarding the recyclability of its popular K-cup pods....more

Keating Muething & Klekamp PLL

Securities Snapshot: 2nd Quarter 2023 - SEC Begins Summer with Blistering Rulemaking Pace

Although the U.S. Securities and Exchange Commission (“SEC”) has not yet adopted the highly-anticipated final rules on climate change disclosure, in the second quarter of 2023 the SEC continued its heated pace of rulemaking....more

King & Spalding

New Expansive Rules for Clawback of Incentive-Based Compensation

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Several recent developments with the U.S. Securities and Exchange Commission (“SEC”) come into effect this year, including the new pay-versus-performance proxy disclosure as well as new Rule 10b5-1 rules and related...more

Cooley LLP

Blog: Can hypothetical risk factors be misleading?

Cooley LLP on

In In re Alphabet Securities Litigation, the State of Rhode Island, as lead plaintiff, filed a Rule 10b-5 action against Google LLC, its holding company Alphabet, Inc., and certain executives, alleging that the defendants...more

Stoel Rives LLP

In Case You Missed It - Interesting Items for Corporate Counsel - April 2019

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The SEC adopted final rules, to implement “FAST Act” disclosure modifications and improvements. Cynics might view the SEC’s efforts to simplify disclosure as a losing battle, as Congress lards more and more mandatory...more

Troutman Pepper

Even as Data Breaches Continue to Increase, Obstacles Remain for Litigants Seeking to Pursue Securities Fraud and Derivative Suits

Troutman Pepper on

Despite focused media coverage and a steady increase in the number of data breaches involving public companies, there has not been a corresponding increase in shareholder securities fraud and shareholder derivative claims...more

A&O Shearman

Third Circuit Affirms Dismissal Of Putative Securities Class Action, Finds No Duty To Disclose An Event Named In A Risk Disclosure...

A&O Shearman on

On August 23, 2017, the United States Circuit Court of Appeals for the Third Circuit affirmed a district court decision dismissing a putative class action against Globus Medical, Inc. (“Globus” or the “Company”), a medical...more

Kramer Levin Naftalis & Frankel LLP

Debt Dialogue: April 2017 - Anti-Fraud Liability for a Violation of Duty to Disclose Trends Heads to the Supreme Court

Item 303 of Regulation S-K requires issuers to disclose in their annual reports on Form 10-K and quarterly reports on Form 10-Q “known trends or uncertainties that have had or that the registrant reasonably expects will have...more

K&L Gates LLP

Are Public Companies Required to Disclose that the Government is Investigating Them?

K&L Gates LLP on

For many public companies, the first issue they have to confront after they receive a government subpoena or Civil Investigative Demand (“CID”) is whether to disclose publicly that they are under investigation. Curiously, the...more

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