Topic
Securities
6,665 published works
Financial Services Observer
California DPFI Suspends Implementation, Enforcement of State’s New Investor Law
By Emily Ladd-Kravitz, Babak Nikravesh, Daniel Wu, Rachel Edwards
On March 17, 2026, the California Department of Financial Protection and Innovation announced it would suspend implementation of the California Fair Investment Practices by Venture Capital Companies Act.
FinTech Law Watch
A Place for Every Token and Every Token in its Place: The SEC “Airdrops” Its New Crypto Taxonomy
By: Thoreau A. Bartmann, Lance C. Dial, and Sarah V. Riddell On 17 March 2026, the SEC and CFTC issued a joint interpretive release establishing a formal taxonomy for crypto assets and when…
The D&O Diary
2025 Accounting-Related Securities Suit Filings Decreased, Settlement Value Increased
The number of accounting-related securities class action lawsuit filings declined in 2025, but the value of accounting-related securities suit settlements increased during the year, according to the latest annual report…
The Securities Law Blog
SEC Announces Enforcement Division Director Judge Margaret A. Ryan Has Resigned from Agency
The Securities and Exchange Commission today announced that Judge Margaret A. Ryan has resigned from her role as Director of the Division of Enforcement. Principal Deputy Director Sam Waldon has…
The D&O Diary
9th Circ. Revives Securities Suit Against Consumer Products Company
By Sarah Abrams
A recent Ninth Circuit decision reviving securities claims against a consumer products company and its executives highlights disclosure-related risks tied to consumer products companies' distribution and execution capabilities that may…
Regulatory Oversight
DC Federal District Court Confirms <em>Jarkesy</em> Does Not Bar SEC From Seeking Industry Bars in Follow-On Proceedings
In Sztrom v. SEC, the U.S. District Court for the District of Columbia confirmed that the U.S. Supreme Court's 2024 decision in SEC v. Jarkesy, which curtailed the Securities and…
Financial Services Observer
SEC Issues Extension for Compliance with Section 16(a)
By Raffael Fiumara, Barbara A. Jones, Marc M. Rossell, Almitra Gupta‡
The U.S. Securities and Exchange Commission recognized that processing delays associated with the unusually large number of Form ID applications being submitted due to the Holding Foreign Insiders Accountable Act…
Regulatory Oversight
SEC–CFTC ‘Historic’ MOU Signals New Phase of Harmonized Oversight and Innovation-Focused Regulation
On March 11, the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) signed a memorandum of understanding (MOU) that both agencies describe as "historic." The MOU is…
Drug & Device Law
Untimely Piggybacking
By Eric Hudson
We almost never post on securities decisions, but we’re making an exception today. Our readers know that the initiation of MDLs and state court coordinated proceedings—often loaded with unvetted and…
Cleary Securities, Disclosure, and Governance Watch
SEC Updates C&DI Guidance: January and February 2026 Roundup – Part 2
In January and February 2026, the SEC's Division of Corporation Finance (Corp Fin) issued, revised, and withdrew several C&DIs addressing corporate transactions and capital markets practices. The full set of…