Topic
Securities
6,684 published works
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,…
California Corporate & Securities Law Blog
Congress Enacts M&A Broker But What About George Babbitt?
Those who made it to page 1,080 of H.R. 2617 (the "Consolidated Appropriations Act") will know that Congress has amended Section 15(b) of the Securities and Exchange Act of 1934…
The CLS Blue Sky Blog
Skadden Discusses What New SEC Insider Trading Rules Mean for Directors
By Katherine D. (Kady) Ashley, Anita B. Bandy, Raquel Fox, Marc S. Gerber, Shalom D. Huber, Caroline S. Kim
In December 2022, the U.S. Securities and Exchange Commission (SEC) modified the rules governing preset stock trading programs for corporate insiders, known as 10b5-1 plans, which begin taking effect this…
The CLS Blue Sky Blog
The Effects of SEC Comment Letters on Compensation Contract Efficiency
By Rachel Geoffroy, Sophia Hamm, Brent Schmidt
In a new paper, we examine whether SEC comment letters on deficiencies in compensation disclosure have an impact on executive-compensation “contract efficiency,” meaning the extent to which such contracts align…
Public Chatter
Video Archive: “Rule 10b5-1 Plans & Insider Trading Policies – Top Issues to Tackle”
By Broc Romanek
Here’s the video archive for the webcast from last week — “Rule 10b5-1 Plans & Insider Trading Policies – Top Issues to Tackle” — featuring Perkins Coie’s own Kelly Reinholdtsen,…
SEC Actions
This Week In Securities Litigation (Week of February 13, 2023)
The drinks were consumed; the food disappeared; and Super Bowl Sunday came to a close. Hope everyone enjoyed it! The Commission continued to focus on traditional areas in the days…
Internet, IT & e-Discovery
Kraken (Staking-as-a-Service) settles for $30 Million with the SEC!
By Peter Vogel
The US Securities and Exchange Commission (SEC) issued a press release that the SEC had “charged Payward Ventures, Inc. and Payward Trading Ltd., both commonly known as Kraken, with failing…
Consumer Finance and Fintech Blog
Recent Crypto Settlements Signal State and Federal Enforcement Trends
By Moorari Shah, A.J. Dhaliwal, Alyssa Paddock
On January 26, the California DFPI announced its participation in a $22.5MM multi-state into a settlement with a with a Cayman Islands digital asset firm to resolve a securities enforcement…
WSNYC Blog: The Latest in Employment Law
SEC Fines Activision Blizzard $35M for Whistleblower Infractions
By Jade
Activision Blizzard, the video game company that produced popular games including Call of Duty and Guitar Hero, has been fined $35 million by the U.S. Securities and Exchange Commission for…
Free Writings + Perspectives
MB Microtalk: Amendments to Rule 10b5-1
By David Schuette, Ryan Cornellier
In this MB Microtalk video, Mayer Brown partner, David Schuette, discusses the recent amendments to Rule 10b5-1, which will become effective on February 27, 2023, and impose additional conditions on…