Topic
Securities
6,664 published works
Regulatory Oversight
SEC Forms New Retail Fraud Working Group to Target Investor Fraud
On July 7, the U.S. Securities and Exchange Commission (SEC) announced the creation of a new Retail Fraud Working Group within its Division of Enforcement. The initiative represents a structural…
Global Investment Watch
China: China Announced Proposed Penalties on Cross-Border Securities Business: What Overseas Institutions Should Watch?
By: Chloe Duan and Amigo L. Xie On 22 May 2026, the China Securities Regulatory Commission announced proposed penalties against several overseas online brokerage firms for cross-border business activities. The…
Consumer Financial Services Law Monitor
Troutman Pepper Locke Weekly Consumer Financial Services Newsletter – July 7, 2026
To keep you informed of recent activities, below are several of the most significant federal events that have influenced the Consumer Financial Services industry over the past week. Federal Activities…
Cleary Securities, Disclosure, and Governance Watch
SEC Modernizes Debt Tender Offer Rules with New Exemptive Order
By Lesley Janzen, Manuel Silva, David Lopez, Stav Harel
The SEC has issued a significant exemptive order modernizing and expanding the ability of issuers to conduct tender offers for their non-convertible debt securities over an abbreviated period of five…
Government Enforcement, Compliance & Investigations Report
Government Enforcement, Compliance & Investigations Webinar Series: Hot Topics in Securities and Commodities Regulation and Enforcement
By Kip Randall
On June 30, 2026, I spoke with Jeff Le Riche and Sarah Razaq Sallis during the latest edition of Husch Blackwell's Government Enforcement, Compliance & Investigations webinar series. The session…
The D&O Diary
Securities Lawsuit Filings Up in Year’s First Half
New securities class action lawsuits in the first half of 2026 were filed at a pace that projects to a year-end total number of filings ahead of both 2025’s full-year…
The D&O Diary
Zillow Securities Lawsuit
By Sarah Abrams
Antitrust enforcement has long represented a significant source of corporate liability exposure, and, as D&O Diary readers know, often serves as the catalyst for follow-on securities class actions and derivative…
Government Enforcement, Compliance & Investigations Report
No Harm, No Foul? Not Anymore: What Sripetch Means for SEC Defendants
By Sarah Razaq Sallis, Kip Randall, Nicole Prefontaine
Earlier this month, the U.S. Supreme Court issued its 9-0 decision in Sripetch v. Securities and Exchange Commission, holding that the U.S. Securities and Exchange Commission (SEC) can retrieve ill-gotten…
Jus Corpus Law Journal Blogs
JOB OPPORTUNITY AT LEGACY LAW OFFICES LLP
By JusCorpus
About the OrganisationLegacy Law Offices LLP is a full-service law firm with a strong presence across corporate, commercial, regulatory, and capital markets practice areas.About the OpportunityLegacy Law Offices LLP is…
Investment Management Regulatory Update
State Regulators Step into the Breach: What Broker-Dealers and Investment Advisors Need to Know
As federal regulators scale back enforcement and staffing, state securities regulators are positioned to fill the gap. In a recent CRC Oyster Consulting webinar, titled “Navigating the Evolution of States…