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With the preemption issue pretty well teed up, what do the courts say (to date)? A look at one recent ruling.
Since 2003, I have been predicting a test case/showdown between lawyers who follow the dictates of the states in which they are licensed to practice law versus the conflicting dictates of the rules and regulations promulgated by the U.S. Securities and Exchange Commission (SEC) after the Sarbanes-Oxley Act of 2002 went into effect. See, e.g., C.E. Stewart, “Sarbanes-Oxley: Panacea or Quagmire for Securities Lawyers?” N.Y.L.J. (March 21, 2003); C.E. Stewart, “This Is a Fine Mess You’ve Gotten Me Into: The Revolution in the Legal Profession,” NY Business L.J. (Summer 2006); C.E. Stewart, “The Pit, the Pendulum, and the Legal Profession: Where Do We Stand After Five Years of Sarbanes-Oxley?” 40 Sec. Reg. & L. Rep. (Feb. 18, 2008); C.E. Stewart, “New York, “New Ethics Rules: What You Don’t Know Can Hurt You!” NY Business L.J. (Fall 2009); C.E. Stewart, “‘Here’s Johnny!’: Carnacing the Future of the SEC’s Preemption Overreach,” 46 Sec. Reg. & L. Rep. (April 28, 2014); C.E. Stewart, “Navigating State-Based Ethics Rules and Sarbanes-Oxley Requirements,” N.Y.L.J. (Sept. 21, 2015).
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Biometrics and the Fifth Amendment: A New Frontier
By Jonathan S. Feld, Jason Ross and Amelia Marquis
When used for work, mobile devices routinely contain employers’ proprietary and confidential data. The struggle between Government requests for access to such data and constitutional protections — including the Government’s ability to compel the turnover of biometric “keys” to unlock mobile devices — create areas of concern.
When Is a Promise Enough?: Contractual Duties and Insider Trading
By Telemachus P. Kasulis
Two criminal appeals before the Second Circuit require the Court of Appeals to decide whether the violation of a fiduciary relationship is required to create insider trading liability or if a breach of contract is sufficient.
Second Circuit Upholds Title 18 Insider-Trading Conviction Where Title 15 Elements Not Established
By Matthew D. Feil and Andrew M. Serrao
Will Prosecutors Take Advantage?
The recent decision in United States v. Blaszczak may signal a change in how prosecutors in the Second Circuit, and perhaps in other jurisdictions, pursue insider-trading cases.
By ssalkin
Former Barbados Government Official Convicted on U.S. Money Laundering Charges Following Insurance Company of Barbados FCPA Settlement
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