Topic
Securities
6,683 published works
The D&O Diary
Guest Post: Is QT making D&O Policies a Liquid Asset?
Sarah Abrams A host of economic factors --- including most significantly the Fed’s interest rate increases (as part of The Fed’s overall money tightening policy sometimes referred to as Quantitative…
The D&O Diary
Chinese Regulators Crack Down, Securities Suits Follow
Over the last few days, at least three U.S.-listed China-based companies have been hit with securities class action lawsuits after Chinese government regulatory crackdowns that targeted the defendant companies’ industries…
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:Kelly Breslauer, Note, Wall Street's Enormous Net: How Scaling Back Statutory Disqualifications Would Better Harmonize Statutes and…
Private Client
SEBI Proposes Key Changes to the AIF Regime
By Vivaik Sharma, Kartik Dhir, Arinjoy Chaudhury, Dhawal Nirash
The Securities Exchange Board of India (“SEBI”) has been actively updating the SEBI (Alternative Investment Funds) Regulations, 2012 (“AIF Regulations”) to strengthen the governance mechanism of alternative investment funds (“AIFs”)…
SEC Actions
This Week In Securities Litigation (Week of June 19, 2023)
Last week the Commission launched a public service campaign focused on making sure that older investors never stop learning. The agency also sought emergency relief to protect the assets of…
The Securities Law Blog
Michele Layne Director of Los Angeles Regional Office to Leave SEC
The Securities and Exchange Commission today announced that Michele Layne, the Director of the Los Angeles Regional Office, is leaving the agency this month after more than 27 years of…
The CLS Blue Sky Blog
SEC Chair Gensler Speaks Before the Small Business Capital Formation Advisory Committee
By Gary Gensler
Good morning, everyone. It’s a pleasure to speak with the Small Business Capital Formation Advisory Committee. As is customary, I’d like to note that my views are my own as…
Law Times News
Ont. CA clarifies determination of ‘material change’ and ‘material fact’ under Securities Act
Decision in two cases outlines two-step process
Federal Regulatory & Enforcement Insider
SEC Dismisses 42 Enforcement Actions Because of Its Own Internal Control Deficiencies
By Matthew Rossi, Brian McCalmon
On June 2, 2023, the United States Securities and Exchange Commission (“SEC”) dismissed 42 administrative enforcement actions and vacated 48 collateral industry bars because its Division of Enforcement (“Enforcement”) staff…
Public Chatter
SEC Approves NYSE and Nasdaq Amendments to Extend Clawback Effective Date!
By Sue Morgan
As expected, the SEC issued notices on Friday to approve the amendments proposed by the NYSE (see that order) and the Nasdaq (see that order) so that the exchanges’ clawback…