Topic
Securities
6,683 published works
California Corporate & Securities Law Blog
California May Soon Require Institutional Investors, Securities And Real Estate Brokers, And Others To Report Diversity Status Of Startup Founding Teams
State Senator Nancy Skinner recently rewrote SB 54 to require "institutional investors" to submit annually to the Department of Financial Protection & Innovation reports disclosing the following: The name of…
China Law Insight
UNCHAINED: REFINANCING REFORM UNDER REGISTRATION-BASED SYSTEM
By King & Wood
Authored by:Guo Liang Lin Zeen Chen Congxin Chen Guanyu In our previous article, we discussed several significant amendments introduced under the registration-based system concerning IPOs. The full implementation of registration-based…
SEC Actions
Cornerstone Research Reports on Accounting Class Action Filings
Financial fraud cases have been a staple in the securities area for years. The SEC, for example, has long focused on these cases. There is no doubt that over the…
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:Abraham J.B. Cable, Regulating Democratized Investing, 83 Ohio St. L.J. 671 (2022).Carol R. Goforth, Regulation by Enforcement: Problems with…
SEC Actions
This Week In Securities Litigation (Week of April 10k 2023)
Last week the Commission filed four new actions. The actions centered on false statements, prohibited transactions, financial fraud and an offering fraud. The agency also announced its 42nd Small Business…
The Securities Law Blog
Registration Opens for the SEC’s 42nd Annual Small Business Forum to Impact Capital Raising Policy
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation has opened registration for the SEC’s 42nd Annual Government-Business Forum on Small Business Capital Formation, which…
The CLS Blue Sky Blog
SEC Chair Testifies on FY 2024 Budget Request Before House Subcommittee
By Gary Gensler
Good afternoon, Chair Womack, Ranking Member Hoyer, and members of the Subcommittee. Thank you for inviting me to testify today on the Securities and Exchange Commission’s Fiscal Year (FY) 2024…
Global Regulation Tomorrow
IOSCO publishes Work Program for 2023/24
On 5 April 2023, the Board of the International Organization of Securities Commissions (IOSCO) published its 2023 – 2024 Work Program. Each of the proposed priority work streams in this…
The D&O Diary
Dismissal Granted in Peloton COVID-Related Securities Suit
Since the initial outbreak of COVID-19 in the U.S. in March 2020, there have been scores of COVID-related securities suit filed. However, as the pandemic itself progressed, the nature of…
Global Regulation Tomorrow
IOSCO publishes final measures for regulators to consider in addressing emerging retail market conduct issues
On 30 March 2023, the International Organisation of Securities Commissions (IOSCO) published a final report from its retail market conduct taskforce which provides an overview of the evolving retail trading…