Topic
Securities
6,664 published works
The CLS Blue Sky Blog
Insider Trading in Connected Firms During Trading Bans
By Renholding
Corporate insiders can earn abnormal returns by trading on private information about their firms. Because this informational advantage is especially pronounced before major releases of information—such as earnings announcements—regulators and…
InsureReinsure
FUNDamental QuickStudy: SEC Proposes New E-Delivery Approach to Modernize Delivery of Regulatory Information
By Michael Renetzky, Genna Garver, Tom Bohac, Brooke Labonski
On July 16, 2026, the U.S. Securities and Exchange Commission (SEC) proposed Regulation E-Delivery, a new rule that would expand the ability of issuers, broker-dealers, investment advisers, and others to…
Regulatory Oversight
Securities Investigations and Enforcement Newsletter – August 2026
By Jay Dubow, Ghillaine Reid, Keith J. Barnett, Gregory Casamento, Joanna Cline, Paul Coggins, Seth Erickson, Genna Garver, Heath Linsky, Tim Mast, Jennifer McCoy, Megan Rahman, Terrance Reilly, Michael Renetzky, Michael A. Schwartz, Casselle Smith, Peter Villar, Mary Weeks, John West, Matthew Berns, Valerie Holder, Brian Nichilo, Erica Dressler, Katie Hancin, Sophia Harmelin, Isabela Herlihy, Millie Krnjaja, George Phelan, Sophia Westphal, Taylor Williams
Troutman Pepper Locke’s Securities Investigations and Enforcement team counsels and defends clients through all stages of securities enforcement proceedings. Our attorneys have served in key government agencies and regulatory bodies,…
India Corporate Law
SEBI’s Proposed Overhaul of the PMS Regulatory Framework
By Vivaik Sharma, Khushi Agarwal
Summary: SEBI has recently proposed an overhaul of the Portfolio Managers Regulations, opening doors that have stayed shut until now. Discretionary portfolio managers may soon be allowed to invest in pre-IPO securities…
India Corporate Law
Securities Markets Code, 2025: Simplifying the fault line
By Bharat Vasani, Maharshi Shah
Summary: The Securities Markets Code Bill, 2025, introduced Clause 92 and Clause 93 as parallel provisions to govern fraudulent and unfair practices and market abuse, respectively. The Parliamentary Standing Committee,…
Bright Law Blog
ASX Corporate Governance Principles draft 5th edition
The ASX is consulting on a draft 5th edition of its Corporate Governance Principles and Recommendations.The ASX says the draft 5th edition seeks to refine, but not redesign, the existing…
The D&O Diary
AI-Related Securities Suit Hits Israeli Web Development Platform
In its July 29, 2026, report on first half securities class action lawsuit filings (here), Cornerstone Research explained the increased levels of 1H26 securities suit filings as being due in…
Debevoise & Pimpton FinTech Blog
SEC Commissioner Warns Crypto Industry That Yield-Generating Activities May Trigger Securities Laws
By Bdavanzo
On July 22, 2026, SEC Commissioner Hester M. Peirce issued a statement warning that crypto vaults and onchain lending products may trigger obligations under the federal securities laws. The statement comes…
Consumer Finance Monitor
Governor Sherrill Selects Christopher Peterson to Lead New Jersey Division of Consumer Affairs
By John L. Culhane, Jr., Alan S. Kaplinsky
Governor Mikie Sherrill has announced her intention to nominate Christopher L. Peterson, one of the nation’s best-known consumer protection scholars and former senior Consumer Financial Protection Bureau official, to serve…
The D&O Diary
Another Private Credit Excessive Fee Lawsuit
By Sarah Abrams
The wave of litigation involving private credit continues to expand. FS KKR Capital Corp. (“FSK”), one of the largest publicly traded business development companies (“BDCs”), is already defending a securities…