Topic
Disclosure
830 published works
Securities Law Prof Blog
SEC Charges Escala Group and former officers with fraud
The SEC filed a disclosure and accounting fraud case against then-NASDAQ National Market issuer Escala Group, Inc.; its founder and former CEO Gregory Manning, and its former CFO Larry Lee Crawford, alleging fraudulent…
Securities Law Prof Blog
SEC Issues Final Rules on NRSROs and Proposing Additional Rules
The SEC is adopting rule amendments that impose additional requirements on nationally recognized statistical rating organizations (“NRSROs”) in order to address concerns about the integrity of their credit rating procedures…
Delaware Corporate & Commercial Litigation Blog
Supreme Court Affirms Dismissal of Disclosure, Loyalty and Care Claims against Sumner Redstone In Viacom and Blockbuster Deal
Pfeffer v. Redstone, (Del. Supr., Jan. 23, 2009), read opinion here. We are fortunate to have a review of this recent Supreme Court decision by nationally-prominent Delaware lawyer Kevin Brady. The…
Securities Law Prof Blog
SEC Staff Compliance & Disclosure Interpretations — Securities Act
SEC Division of Corporation Finance posted on the SEC website its Compliance and Disclosure Interpretations (“C&DIs”) that comprise the Division’s interpretations of the rules adopted under the Securities Act. Some…
Securities Law Prof Blog
SEC Issues Final Rule on Mutual Fund Disclosure
The SEC issued its final rule adopting amendments to the form used by mutual funds to register under the Investment Company Act of 1940 and to offer their securities under…
InsureReinsure
UK: FSA Releases Feedback Statement 08/7 on Transparency, Disclosure and Conflicts of Interest in the Commercial Insurance Market (Statement)
The Statement issued by the FSA sets out its continued interest in improving transparency in the mediation of commercial general insurance and the management of conflicts of interest (click here…
Media Law Prof Blog
SRM Global Sues Wall Street Journal Over Disclosure
SRM Global, the hedge fund, is going to court over the Wall Street Journal's publication of information about its financial performance, alleging that the data revealed was confidential. SRM held…
Securities Law Prof Blog
SEC Adopts Rules to Improve Mutual Fund Disclosure
The SEC voted unanimously to improve mutual fund disclosure by requiring that funds provide investors with a concise summary — in plain English — of the key information they need…
Securities Law Prof Blog
Fried on “Dark” Firms
Firms Gone Dark, by Jesse M. Fried, University of California, Berkeley - School of Law, was recently posted on SSRN. Here is the abstract:A loophole in the securities laws permits…
White Collar Crime Prof Blog
In the News and Blogosphere
By Ellen Podgor
Del Quentin Wilber & Carol D. Leonnig, Washington Post, Judge Refuses to Dismiss Stevens's Indictment or Declare Mistrial - Prosecutors Wait Until Last Minute to Disclose Potentially Exculpatory Material Sheri…