Topic
Securities
6,683 published works
SEC Actions
This Week In Securities Litigation (Week of April 24, 2024)
The Commission continues to consider a host of rule-writing proposals as Chair Gensler’s Congressional testimony (see below) reminds us. Those include hot button topics such as climate, but not crypto.…
The D&O Diary
Plaintiffs Lack Standing to Sue Over Pre-Merger Statements of SPAC Target Company
As readers of this blog know, in the last couple of years a significant number of SPAC-related securities lawsuits have been filed, often arising after the post-merger de-SPAC company stumbles…
SEC Actions
Trends in SEC Enforcement: 2022 – A Cop on Every Corner, Part II
Part I of this series presented the results for calendar year 2022, briefly discussing the number of cases filed for the year by the Commission and detailing the results for…
Global Regulation Tomorrow
ESMA publishes 2022 report on quality and use of transaction data
On 19 April 2023, the European Securities and Markets Authority (ESMA) published the 2022 report on quality and use of transaction data. The report highlights the increased use of transaction…
The D&O Diary
Guest Post: Will the Supreme Court Cut Securities Plaintiffs Some Slack?
Joseph Gross Earlier this week, the U.S. Supreme Court heard oral argument in the Slack case, the high-profile securities law case the Court is considering this term. In the following…
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:Patrick M. Corrigan, Does an Initial Public Offering (IPO) Issuer's Securities and Exchange Commission Registration Fee…
The Securities Law Blog
SEC Charges Crypto Asset Trading Platform Bittrex and its Former CEO for Operating an Unregistered Exchange, Broker, and Clearing Agency
The Securities and Exchange Commission today charged crypto asset trading platform Bittrex, Inc. and its co-founder and former CEO William Shihara for operating an unregistered national securities exchange, broker, and…
SEC Actions
This Week In Securities Litigation (Week of April 17, 2023)
The pace of filing new enforcement actions seemed to slow last week. Only two new actions were announced. One involved conflicts and an investment adviser. The other centered on claims…
The Securities Law Blog
SEC Reopens Comment Period for Proposed Amendments to Exchange Act Rule 3b-16 and Provides Supplemental Information
The Securities and Exchange Commission today reopened the comment period and provided supplemental information on proposed amendments to the definition of “exchange” under Exchange Act Rule 3b-16. The Commission initially proposed…
The D&O Diary
Fuel Cell Company Hit with Supply Chain-Related Securities Suits
In the current economic environment, companies are wrestling with a host of macroeconomic issues, including rising interest rates, economic inflation, continuing labor shortages, and the war in Ukraine. In…