Topic
Securities
6,683 published works
SEC Actions
This Week In Securities Litigation (Week of April 3, 2023)
Last week the Commission continued to focus on crypto assets. Two new actions were filed. One centered on a crypto exchange, seemingly the new topic in this area. The second…
The D&O Diary
A Detailed Look at the 2022 Crypto-Related Securities Suit Filings
As the authors put it in the title of their recent guest post on this site, crypto is the new frontier of securities litigation. The title is reference to a…
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:Gilbert J. Bradshaw, Cullen Smythe, Frank Morgan & Brittany Phelan, Finders but Not Keepers: The Regulation of…
ABS Update
First Department Issues New Decision Relating to Claims Against RMBS Trustees
By John Lundin
On March 30, 2023, the First Department issued a decision in MLRN LLC v. U.S. Bank, N.A., 2023 NY Slip Op. 01748, deciding several issues relating to investor claims against…
International Dispute Resolution
The Implementation of China’s Trial Measures for the Administration of Overseas Issuance and Listing of Securities by Domestic Enterprises (《境内企业境外发行证券和上市管理试行办法》)
By Raymond Wong, Sherman Chan, Ken Tang
Introduction On 17 February 2023, the China Securities Regulatory Commission ("CSRC") announced the "Trial Measures for the Administration of Overseas Issuance and Listing of Securities by Domestic Enterprises" (《境内企业境外发行证券和上市管理试行办法》) (the…
The D&O Diary
Target Hit with Securities Suit Over Pandemic-Related Inventory Overhang
As I have noted in prior posts (most recently here), a recurring type of pandemic-related securities suit involves companies whose fortunes prospered at the outset of the pandemic but whose…
Consumer Class Defense Blog
Why are Securities Class Action Mediations Different from Other Mediations?
By Gregory Markel, Sarah Fedner
To borrow a few of the words spoken in 1926 by F. Scott Fitzgerald to Ernest Hemingway in a quite distinct context, securities class action mediations “are different than” mediations…
The D&O Diary
Guest Post: Why are Securities Class Action Mediations Different from Other Mediations?
Greg Markel Sarah Fedner In the following guest post, Greg Markel and Sarah Fedner take a look at the characteristics of securities class action lawsuits that made securities suit mediations…
Cleary Cybersecurity and Privacy Watch
SEC Proposes Major New Cybersecurity Rules for Market Participants
By James R. Burns, Brant Brown, Ben Rosenblum, Benjamin Hayes, dmulloy
On March 15, 2023, the U.S. Securities and Exchange Commission (“SEC”) proposed three new cybersecurity rulemakings that, if adopted, would affect a wide range of market participants, including SEC-registered broker-dealers.…
SEC Actions
Commission Files Another Offering Fraud Action
Offering frauds are one of the prevalent types of fraud the Commission’s Enforcement Division faces. Typically, each year cases involving offering frauds are among the largest group of cases initiated…