Topic
Securities
6,683 published works
SEC Actions
This Week In Securities Litigation (Week of February 27, 2023)
The Commission filed cases last week centered on insider trading, financial fraud, corporate controls, Regulation M Rule 105 and microcap fraud. A new report by Cornerstone Research found that the…
The D&O Diary
First SPAC-Related Securities Suit Filing of 2023
As I noted in my recent year-end round up of the top D&O stories of 2022, one of the important trends last year was the volume of SPAC-related D&O litigation.…
The D&O Diary
The Plaintiffs’ Law Firms’ Securities Litigation Business
Through reforms enacted in the PSLRA, Congress intended for lead plaintiffs and courts to exercise some control over the plaintiffs’ law firms that pursue securities class action lawsuits. The securities…
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:Belle Qi Guo, What Lessons Can the Luckin Coffee Scandal Offer to Australia–China Cross-Border Listed Companies'…
SEC Actions
This Week In Securities Litigation (Week of February 20, 2023)
The Commission brought actions centered on touting, manipulation, an offering fraud and a financial fraud in then period leading up to the President’s Day Weekend. Be careful, be safe this…
The CLS Blue Sky Blog
How to Reform Our Abysmal Insider Trading Framework
The U.S. insider trading framework is a mess. Principles apply that are inconsistent with one another and that treat similarly situated persons in a disparate manner. In my 2021 book and a…
Canadian Lawyer Mag
Securities litigator joins Skadden as partner in Palo Alto
Securities litigator joins Skadden as partner in Palo Alto
GT Israel Law Blog
SEC Announces 2023 Examination Priorities
By Richard M. Cutshall, Arthur Don, Paul Ferak, Steven M. Malina, David E. Beale
On Feb. 7, 2023, the Securities and Exchange Commission (SEC)’s Division of Examinations (Division) announced its 2023 examination priorities (Exam Priorities). The announcement focuses on six different categories: New Investment Adviser and…
The D&O Diary
PLUS D&O Symposium in New York
The D&O Diary was on assignment this week at the PLUS D&O Symposium. As reflected the accompanying picture of Times Square, the weather in New York was uncharacteristically sunny and…
The Securities Law Blog
SEC Proposes Enhanced Safeguarding Rule for Registered Investment Advisers
The Securities and Exchange Commission today proposed rule changes to enhance protections of customer assets managed by registered investment advisers. If adopted, the changes would amend and redesignate rule 206(4)-2,…