Publications

2011 Roundtable Series: Securities
California Lawyer
August 2011

The securities industry is buzzing about recent U.S. Supreme Court rulings and U.S. Securities and Exchange Commission’s new incentives for whistleblowers under the Dodd-Frank Act. The Court’s decision in Janus Capital Group, Inc. v. First Derivative Traders (131 S.Ct. 2296 (2011)) has wide reaching implications for primary liability and may change contractual relationships between companies and lead to larger D&O insurance policies. Our panel of experts discusses these issues as well as governance-only settlements, SEC Director of Enforcement Robert Khuzami, and potential changes in securities practices.