Topic
Securities
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The Securities Law Blog
SEC Proposes Reforms Relating to Investment Advisers Operating Exclusively Through the Internet
The Securities and Exchange Commission today proposed amendments to the rule permitting certain investment advisers that provide investment advisory services through the internet to register with the Commission. The proposed…
The Securities Law Blog
SEC Names Natasha Vij Greiner and Keith E. Cassidy Interim Acting Co-Directors of the Division of Examinations
The Securities and Exchange Commission today announced that Natasha Vij Greiner and Keith E. Cassidy have been named interim Acting Co-Directors of the Division of Examinations, effective immediately, while Division…
Free Writings + Perspectives
Defining Digital Asset Securities: US District Court Issues Summary Judgment Rulings in SEC v. Ripple Labs
By Anna T. Pinedo, Joseph A. Castelluccio, Matthew F. Kluchenek, Steffen Hemmerich, Brandon Birdsall
In a closely-watched ruling, on July 13, 2023, a US federal court granted summary judgment and made several key determinations on the question of whether digital tokens are “securities” for…
SEC Actions
This Week In Securities Litigation (Week of July 24, 2023)
Chair Gensler testified in support of the proposed budget of $2.364 billion to fund the agency at current levels, adjusted for inflation. The request received support from both parties in…
Securities Compliance Sentinel
Updated 2023 Interactive Survey of State ‘Blue Sky’ Filing Requirements Facilitates Compliance
We wanted everyone to know that access is now available to our updated Blue Sky survey. Ernest E. Badway - Interactive Survey of State 'Blue Sky' Filing Requirements Facilitates Compliance…
The Blockchain Monitor
Ripple Decision Makes Waves Finding Some XRP Sales Not Securities
By Lauren Bass, Jonathan A. Forman, Adam Gale, Teresa Goody Guillén, Robert A. Musiala, Sydney Park, Veronica Reynolds, Joanna F. Wasick
On July 13, 2023, the U.S. District Court for the Southern District of New York issued its highly anticipated summary judgment decision in the U.S. Securities and Exchange Commission’s (SEC)…
The D&O Diary
Danaher Hit with COVID-Related Securities Suit Filing
From the very beginning of the COVID-19 outbreak in March 2020, one related phenomena that immediately became apparent was the emergence of coronavirus-related securities class action lawsuits and other corporate…
SEC Actions
Ripple and Howey
The questions revolving around crypto assets typically begin with examining if a security is involved. The answer to that question is determined by applying the Howey test and frequently concluding…
Blockchain and the Law
The Ripple Effect: Implications of the SEC’s Partial Loss in SEC v. Ripple Labs Inc.
By Robert Pommer, Jonathan Richman, Joshua M. Newville, Michael Guggenheim
The SEC suffered a significant loss last week in its ongoing legal battle with Ripple over the XRP digital token. While the District Court held that Ripple’s initial sales of XRP…
Securities Law Prof Blog
New Securities Law Articles in Print
The following law review articles relating to securities regulation are now available in paper format:Benjamin Augugliaro, Note, Regulatory Outlook for Derivatives Based on Sports Outcomes, 17 Brook. J. Corp. Fin. & Com.…