News & Developments »

Subcommittee Hosts Panel Discussion on Compliance Officer Liability

The SRO Subcommittee recently hosted a panel discussion on compliance-officer liability, a subject of great interest for legal and compliance professionals at member firms.

The Role of Foreign Investor Litigation in View of Morrison

The decision has spurred additional overseas “litigation opportunities” to institutional investors whose trades would now not be included in a U.S. securities class action.

SEC Scrutiny on Proper Valuations of Funds by Investment Advisers

The SEC is now positioned to execute more thorough investigations into asset managers, whether they manage registered funds or hedge funds and other investment vehicles.

Articles »

Wal-Mart v. Dukes: Initial Effects on Securities-Fraud Class Certification

By Robert H. Bell and Thomas G. Haskins Jr.

This is a look at three distinct ways in which district and circuit courts have applied the Wal-Mart decision in class-certification decisions in securities-fraud class actions.

What Janus Meant: The Supreme Court's "Ultimate Authority" Test

By Grace A. Carter and Timothy D. Reynolds

The decision sent a powerful signal, holding that the investment adviser to a mutual fund could not be held primarily liable, because the adviser did not have "ultimate authority" over the statements.

Private 10b-5 Lawsuits Against Aiders and Abettors: Janus Back and Forward

By Gary O. Cohen

The reference to the Roman god Janus—who looks both back and forward—is appropriate in considering the impact of the Supreme Court's Janus decision.

Announcements »

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Securities Litigation E-Newsletter: Winter 2012

The latest issue of the committee newsletter is now available.