Topic
Securities
6,661 published works
Founders Legal Blog
Seed Stage Funding and the Legal Decisions That Shape Series A Readiness
By Elena Rogers
Seed Stage Funding and the Legal Decisions That Shape Series A Readiness by Elena Rogers Seed Stage Funding and the Legal Decisions That Shape Series A Readiness The seed stage…
The CLS Blue Sky Blog
Shadow SEC Statement No. 13: Insider Trading Institutionalized
By Renholding
Insider trading has long been a furtive contest between traders, desperately hiding their material non-public information, and prosecutors in hot pursuit. In general, discovery implied conviction. But now it may…
Original Jurisdiction
Judicial Notice (09.07.26): Split Decisions
By David Lat
The New York office of Skadden, at One Manhattan West (photo by David Lat).This week’s Judicial Notice is sponsored byWith a presence in over a dozen cities across the United…
Dispute Resolution Blog
Beyond Trading: The Evolving Law on UPSI Communication
By Vasudha Goenka, Sangram Mallick, Prakhar Singh
Summary: An allegation of communication of unpublished price sensitive information under Regulation 3 of the SEBI (Prohibition of Insider Trading) Regulations, 2015, cannot be established merely basis proximity between parties…
Known Trends
Corp Fin Adds Three CFIs on Shareholder Engagement and Schedule 13G Eligibility
On September 2, 2026, the staff of the Division of Corporation Finance published three new Corporation Finance Interpretations (CFIs) clarifying when a shareholder’s engagement with an issuer will not disqualify…
Global Regulation Tomorrow
Commission Delegated Regulation supplementing MiFID II with regard to RTS for the establishment of an EU code of conduct for issuer-sponsored research
By Simon Lovegrove (UK), Floortje Nagelkerke (NL)
On 4 September 2026, there was published in the Official Journal of the EU, Commission Delegated Regulation (EU) 2026/1092 of 21 May 2026 supplementing Directive 2014/65/EU of the European Parliament…
Ryan P. Smith Law Blog
Law and Order – July 2026: Check the Box and Miss the Point
The Financial Industry Regulatory Authority, Inc. (FINRA) posts the disciplinary actions it took to an online database. It also publishes a monthly summary of these actions, which is a worthwhile read for those…
The Securities Law Blog
SEC Investor Advisory Committee to Host Sept. 10 Meeting
The Securities and Exchange Commission’s Investor Advisory Committee will host a public meeting at the SEC Headquarters in Washington D.C. on Sept. 10 at 10 a.m. ET to discuss artificial intelligence…
Client Alerts & Publications: Chapman and Cutler LLP
SEC Relief, E-Delivery, and 24-Hour Trading — Focused on Finance Podcast: Investment Management Series
Listen to Chapman's Investment Management Series, dedicated to the legal, regulatory, and business developments shaping the investment management industry.
Across The Board
New Schedule 13D and 13G CFIs Aim to Clarify the Impact of Communications Between Issuers and Investors
By Liz Walsh
In February 2025, the Securities and Exchange Commission’s Division of Corporation Finance published two new Corporation Finance Interpretations (“CFIs,” or CDIs, as they were known at the time) relating to…