Topic
Securities
6,664 published works
Banking, Finance and Securities
Regulation Around the World: Settlement: T+1 and beyond
The settlement of securities transactions—the process by which ownership of a financial instrument is transferred from seller to buyer and payment moves in the opposite direction—is undergoing one of its…
Business Law Prof Blog
Fraud on Blockchains & Student Coauthorship
I am pleased and proud to report the recent publication of an article I coauthored last year with a former student, Cody Dethlefs, for the Stetson Law Review's 2025 symposium…
The D&O Diary
Supply Chain Woes Lead to Securities Suit Against EV Company
It is not news that operational setbacks can lead to securities litigation. Indeed, long-time securities litigation observers may recall that during the pandemic, supply chain disruption led to a raft…
Cleary Securities, Disclosure, and Governance Watch
SEC Officer Definitions: A Quick Reference
By Synne D. Chapman, Adam Fleisher, Julia Petty, Shuangjun Wang, Saleh Ismail, Bobby Bee
Federal securities law does not use a single, uniform definition of “officer.” Instead, several overlapping definitions determine who qualifies as an officer for different regulatory purposes, each carrying its own…
Slaw
“A Security Is What the Law Says It Is”: Legislative Breadth and Judicial Purpose in Canadian Securities Law
Canadian securities law has long resisted narrow or technical definitions of the term “security.” Instead, both legislatures and courts have embraced an intentionally expansive and purposive conception, one designed to…
The CLS Blue Sky Blog
SEC Chair Speaks at the 2026 Reagan National Economic Forum
Good morning, ladies and gentlemen. And thank you, Fred [Ryan], for your generous introduction. Before I begin, I should like to take a moment to recognize what a profound privilege…
Ryan P. Smith Law Blog
Law and Order – April 2026
By Ryan
Law and Order – April 2026: A.C.T. Now or Act Later The Financial Industry Regulatory Authority, Inc. (FINRA) posts the disciplinary actions it took to an online database. It also publishes a monthly…
Global Investment Watch
United States: SEC’s Updated Qualified Client Standards Take Effect 29 June 2026
By Eden Kuehler
By: Sasha Burstein, Pablo J. Man, Mark T. Heine, Edward T. Dartley, and George Zornada The United States Securities and Exchange Commission’s (SEC) inflation adjustment to the qualified client thresholds…
Regulatory Oversight
SEC Foot Locker Order Underscores Continued Focus on Whistleblower Protections
On May 22, the Securities and Exchange Commission (SEC) announced a settled enforcement action against Foot Locker, Inc. for using separation agreements that required departing employees to waive their right…
The D&O Diary
AI-Adjacent Securities Litigation
By Sarah Abrams
The D&O Diary has been chronicling how securities plaintiffs continue to expand litigation theories beyond traditional “AI-washing” claims. The recent securities class action against data protection company Commvault Systems, Inc.…