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Material Misstatements Securities and Exchange Commission (SEC) Disclosure

A&O Shearman

The Second Circuit Revives Exchange Act Claims Against Outside Auditor, Finding Alleged Misstatements In Audit Certification To Be...

A&O Shearman on

On October 31, 2024, the United States Court of Appeals for the Second Circuit revived claims brought under Section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 10b-5 against an outside auditor (the...more

A&O Shearman

United States Supreme Court Grants Certiorari To Consider When Already-Materialized Risks Must Be Disclosed

A&O Shearman on

On June 10, 2024, the United States Supreme Court granted certiorari to review a decision of the United States Court of Appeals for the Ninth Circuit that partially reinstated a putative class action asserting claims under...more

Morrison & Foerster LLP - JOBS Act

Know Your Weaknesses: PwC reports on disclosing material weaknesses during the IPO process. 

PwC recently released a study on the effect of disclosing material weaknesses (MWs) during an issuer’s initial public offering. Disclosing material weaknesses, which are defined by the SEC as “a deficiency, or a combination...more

Sherman & Howard L.L.C.

SEC Encourages Self-Reporting of Continuing Disclosure Misstatements

In an effort to increase enforcement of continuing disclosure obligations, the Securities and Exchange Commission (“SEC”) announced a self-reporting program on March 10, 2014, referred to as the Municipalities Continuing...more

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