Topic
Securities
6,683 published works
Public Chatter
Rare Lawsuit Filed By Shareholder Proponent Over Shareholder Proposal Exclusion
It’s quite rare for shareholder proponents to resort to the courts when the Corp Fin Staff concurs with a company that it can exclude a proposal under the Rule 14a-8…
Global Regulation Tomorrow
ESMA publishes the annual transparency calculation for non-equity instruments, bond liquidity data and quarterly SI calculations
On 2 May 2023, the European Securities and Markets Authority (ESMA) published the results of its annual transparency calculation for non-equity instruments, the quarterly liquidity assessment of bonds and the…
SEC Actions
Trends in SEC Enforcement: 2022 – A Cop on Every Corner – Conclusion
The year 2022 was good by any measure for SEC Enforcement. To be sure limitations imposed on the investigative process by the great COVID pandemic persisted. Investigative testimony was taken…
Allens Insights
Management Equity Plans (MEPs) and their key considerations
By Allens
Common structures and key tax and securities law considerations 6 min read According to the Australian Investment Council, private equity houses and venture capital firms in Australia have approximately $10bn…
SEC Actions
This Week In Securities Litigation (Week of May 1, 2023)
Last week the Commission did not file any new enforcement actions, contrary to what they have done for weeks. There is no doubt however as we have repeatedly noted in…
SEC Actions
Trends in SEC Enforcement: 2022 – A Cop on Every Corner, Part III (concluding segment)
Part I of this series briefly discussed the overall enforcement results for 2022 and presented a discussion of the four largest groups of cases brought during 2022 – offering fraud…
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:Christian A. Lobello, Comment, Which Way to Wall Street?: Why the Only Solution to Congressional Insider Trading…
Global Regulation Tomorrow
Final draft RTS on the determination of the exposure value of SES in synthetic securitisations
By Jochen Vester (UK), Simon Lovegrove (UK)
On 25 April 2023, the European Banking Authority (EBA) published a report containing final draft regulatory technical standards (RTS) that specify how originator institutions are to determine the exposure value…
The D&O Diary
First Republic Bank Hit with Banking Crisis-Related Securities Suit
In the immediate aftermath of the banking crisis in mid-March, several of the key banks at the center of the crisis – including Silicon Valley Bank, Signature Bank, and…
Lawyers Representing Lawyers
Third Circuit Calls for Sanctions in “Lawyer-Driven” Stock Suit
The Third Circuit recently opined that sanctions were warranted against investors who pursued claims against an ailing company that were brought solely for the purpose of leveraging a settlement. The…