Jurisdiction, Securities and Exchange Commission (SEC), Fiduciary Duty

Does The SEC's Jurisdiction Really Extend To Any Person?

Allen Matkins on 9/9/2024

Last week, the Securities and Exchange Commission announced that it had settled charges against a broker-dealer and two investment advisers for impeding their clients from reporting securities law violations to the SEC. ...more

Energy & Sustainability Litigation Updates — July 2024

Mintz - Energy & Sustainability Viewpoints on 7/2/2024

On June 4, 2024, a number of Congressional Democrats (10 Senators; 28 Congressmen) sent a letter to SEC Chairman Gensler, urging that the SEC “enforce existing SEC climate disclosure-related guidance” while the legal...more

Litigation Insights - July 2021

Goodwin on 7/28/2021

FOREWORD - On behalf of the new and expanding Goodwin London litigation team I am delighted to welcome you to our first ever ‘Litigation Insights’: a series of quarterly updates on important and interesting developments...more

SPAC Litigation: What Happens if the “Blank Check” Bounces?

Conyers on 5/17/2021

The demand for Special Purpose Acquisition Company (SPAC) formations in the Cayman Islands increased through the first quarter of 2021 following robust performance in 2020. Whilst the second quarter of 2021 has seen a...more

Multiple Plaintiffs Take Shot at SEC Regulation Best Interest

Carlton Fields on 10/10/2019

The Securities and Exchange Commission’s Regulation Best Interest faces a bumpy road in the wake of recent lawsuits challenging the appropriateness and effectiveness of the rule....more

Inside the Courts – An Update From Skadden Securities Litigators - December 2018

Skadden, Arps, Slate, Meagher & Flom LLP on 12/7/2018

This quarter’s issue includes summaries and associated court opinions of selected cases principally decided between September 2018 and October 2018. ...more