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Securities Law Prof Blog
SEC Turns Attention to Muni Issuers
SEC Commissioner Elisse Walter stated in an interview with the Wall St. Journal that the agency may seek authority from Congress to regulate municipal issuers and the quality of their…
Securities Law Prof Blog
SEC Announces Agenda for Sept. 17 Open Meeting
The SEC will hold an Open Meeting on September 17, 2010. The subject matter of the Open Meeting will be:The Commission will consider whether to propose rules that would require a…
Securities Law Prof Blog
SEC Announces Field Hearings on Municipal Bond Market
The SEC announced today that it is launching a series of field hearings to examine the municipal securities markets, starting in San Francisco on September 21. Topics will include disclosure and transparency,…
Construction & Infrastructure Law Blog
Contractors Can Recover for Public Agency’s Failure to Disclose Material Information
By Edward Lozowicki In a recent decision the California Supreme Court expanded the implied warranty of specification suitability to include claims for a public agency's failure to disclose material information.…
Securities Law Prof Blog
FINRA Fines Morgan Stanley for Deficiencies in Research Conflicts Disclosure
FINRA censured and fined Morgan Stanley & Co., Inc. $800,000 for failing to make public disclosures required by FINRA's rules governing research analyst conflicts of interest. The firm also failed…
Canadian Securities Law
SEC approves changes to adviser principal disclosure brochure
Yesterday, the Securities and Exchange Commission (SEC) approved changes to Form ADV, the principal disclosure document that registered investment advisers are required to provide to clients. According to SEC Chairman Mary…
Securities Law Prof Blog
SEC Adopts Improved Disclosure about Investment Advisers
The SEC today voted unanimously to adopt changes to the principal disclosure document that SEC-registered investment advisers must provide to their clients and prospective clients. Form ADV, Part 2 — commonly…
Corporate & Financial Weekly Digest
Wall Street Reform Act Contains Significant Governance and Disclosure Provisions
Yesterday, the Senate approved the Dodd-Frank Wall Street Reform and Consumer Protection Act with no changes to the governance provisions of the Conference Committee version of the bill. President Obama…
Corporate & Financial Weekly Digest
Speech by SEC Chairman on Corporate Governance and Disclosure Initiatives
On July 9, Securities and Exchange Commission Chairman Mary Schapiro spoke at the National Conference of the Society of Corporate Secretaries and Governance Professionals in Chicago about upcoming SEC governance…
Securities Law Prof Blog
SEC Press Conference on Goldman Settlement
Robert Khuzami, SEC Enforcement Division Director, emphasized the following points in his remarks at the press conference announcing the Goldman settlement:Largest penalty every -- $300 million, plus $250 million in…