Topic
Securities
6,683 published works
Regulatory Oversight
Twelve State AGs Send Letter Opposing SEC Rule Regulating Cryptocurrency
By Troutman Pepper Locke State Attorneys General Team
On May 8, 12 states led by Arkansas Attorney General Tim Griffin sent a letter to the Securities and Exchange Commission (SEC), opposing its recently proposed rule to give the…
Sidley Austin Blog
Securities Litigation Against Life Sciences Companies: Eleven Takeaways from 2022
By Robin E. Wechkin, Sarah A. Hemmendinger, Sara B. Brody, Matthew J. Dolan, Francesca E. Brody
Securities class actions against life sciences companies are generally second-order problems. The first-order problem is a business or regulatory setback that, when disclosed by the company or a third party,…
The D&O Diary
Wells Fargo Settles Securities Suit for $1 Billion
In what is among the 20 largest all-time U.S. securities class action lawsuit settlements, Wells Fargo has agreed to pay $1 billion to settle claims that it misrepresented its compliance…
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:Eric Guenther, Comment, The Absurd Pandemonium Surrounding SPACs: An Argument in Favor of Legislative and Judicial Restraint, 72…
The D&O Diary
Disney Hit With Securities Suit with COVID-Related Allegations
Earlier this month, the U.S. Center for Disease Control announced the end in the U.S. of the COVID-19-related public health emergency that began in March 2020. Yet even though the…
China Law Insight
独董制度改革，上市公司董事会运行会变吗？
By King & Wood
作者：姜翼凤 彭亚 贾棣彦 刘知卉 2023年4月国务院办公厅发布《关于上市公司独立董事制度改革的意见》，证监会和上海、深圳、北京三大证券交易所分别以公开征求意见形式，紧随其后发布修订版《上市公司独立董事管理办法》和全面注册制下主板、科创板、创业板、北交所对应的股票上市规则，以及对应上市板块下公司规范运作相关的自律规范指引，旨在系统、集成地推动国内上市公司独立董事制度改革。 研读上述共12项文件，结合公司治理规范现状，我们预期，独立董事制度发力“改革”，将使国内上市公司在董事会设置和运行等方面的“变革”“演进”沓来踵至，试从以下三个方面分析和阐述： 独董制度改革，推动上市公司治理实践向董事会中心转变 对董事真正“独立”进行强本固基，驱动董事会运行演进 量化细化“勤勉”标准，促使独立董事个人履职行为渐变 抽象的政策法律以调整民商事实践活动、提高资源优化配置等为目的，影响和作用于具象的上市公司及其大股东、董监事、管理层、中小股东，以及员工、债权人等利益相关者，且将通过市场参与主体的行为过程和行为结果得到验证。 阅读更多
SEC Actions
This Week In Securities Litigation (Week of May 15, 2023)
The Commission filed a series of actions last week. Those cases focused on offering frauds, manipulation and a breach of fiduciary tied to the investments recommended to an advisory investor…
The D&O Diary
Kraft Heinz Securities Litigation Settles for $450 Million
The parties in the Kraft Heinz Securities Group securities class action litigation have agreed to settle the case for $450 million, a massive settlement that makes the list of all-time…
SEC Actions
This Week In Securities Litigation (Week of May 8, 2023)
Last week the Commission announced its largest whistleblower award in the history of the program. More rules were also announced, this time regarding Form PF and the repurchase of shares.…
The CLS Blue Sky Blog
Columbia Law Professor Writes One of Top 10 Corporate and Securities Articles for 2022
Eric Talley, Isidor & Seville Sulzbacher Professor and co-director of the Millstein Center for Global Markets and Corporate Ownership at Columbia Law School, was among the authors of one of…