Articles

What Is “Contemporaneous Trading” under Section 20A?

By Alain Mathieu and Joel Rothman – December 19, 2019 | The Third Circuit may be poised to answer this question as part of an interlocutory review.

SEC Enforcement Actions Brought in Support of Foreign Securities Authorities

By Ronald S. Betman – December 19, 2019 | Tips for counseling clients in this unique and growing arena of SEC enforcement actions.

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Practice Points

Delaware Supreme Court Declares Federal Forum Provisions in Corporate Charters are “Facially Valid”

By Gabriel K. Gillett, Michael F. Linden, and Howard S. Suskin – April 2, 2020 | Companies and litigators should continue to watch the Delaware courts for developments as parties bring as-applied challenges.

Second Circuit Allows Insider Trading to Be Proven Without Personal Benefit

By Stephen L. Ascher, Anthony S. Barkow, Anne Cortina Perry and Charles D. Riely – January 21, 2020 | We will have to wait and see how other courts may weigh in, and whether or not the Supreme Court will ultimately resolve the split.

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Audio

Liu v. SEC: Civil Disgorgement on the Chopping Block

By Matthew P. Allen – March 2, 2020 | In this Sound Advice, Matthew P. Allen summarizes the parties' legal positions in Liu, and offers a structure to defend an SEC disgorgement action.

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Post-Cyan Developments: State and Federal Court Litigation Update

By Josh Jones and Danielle Myers – December 10, 2019 | In Cyan, the Supreme Court held that class actions solely alleging violations of Section 11 of the Securities Act of 1933 could be heard in state court and were not removable under SLUSA. In this Sound Advice , Josh Jones and Danielle Myers consider the state and federal court developments in the eighteen months since the opinion was issued.

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