Topic
Securities
6,666 published works
The Securities Law Blog
SEC Announces 45th Annual Small Business Forum to Improve Capital-Raising Policy
The Securities and Exchange Commission will host the agency’s 45th Annual Government Business Forum on Small Business Capital Formation at SEC Headquarters in Washington, D.C., on March 9 from 1…
Financial Services Observer
SEC Enforcement Director Makes First Public Remarks on the Wells Process and Enforcement Priorities
By Miriam (Mimi) G. Bahcall, Tracy S. Combs, Richard M. Cutshall, William Mack, Daniel J. Wadley
On Aug. 21, 2025, Judge Margaret Ryan, a former senior judge of the United States Court of Appeals for the Armed Forces, was named the Securities and Exchange Commission’s director of the…
Ryan P. Smith Law Blog
Law and Order – January 2026
By Ryan
The Financial Industry Regulatory Authority, Inc. (FINRA) posts the disciplinary actions it took to an online database. It also publishes a monthly summary of these actions, which is a worthwhile read for…
The CLS Blue Sky Blog
Debevoise Discusses Third Circuit Decision on the Limits of the Best Price Rule
By Eric Juergens, Matthew Kaplan, Gordon Moodie, William Regner, Benjamin Pedersen
On February 3, 2026, the U.S. Court of Appeals for the Third Circuit issued a decision in Abramowski v. Nuvei Corp., holding that the “Best Price Rule”—a tender offer rule…
Winstead - Investment Management
Requirements of a Form D Notice Filing
By Jarrod Azopardi, Page Patrick
As discussed in our previous article, "Raising Capital Through Private Placements Under Regulation D", Regulation D provides exemptions to streamline capital raising and avoid the rigorous public disclosure requirements associated…
Global Regulation Tomorrow
IOSCO publishes 2026 workplan
By Simon Lovegrove (UK), Charlotte Carnegie
On 9 February 2026, the International Organization of Securities Commissions (IOSCO) issued its workplan for 2026. IOSCO explains that it will build on its 2025 Work programme and that it intends…
The D&O Diary
Guest Post: Low-Float IPOs and Pump-And-Dump Risk
Sarah Abrams Those who pay attention to these kinds of things may have noted that in recent weeks there has been a rash of pump-and-dump scheme securities class action lawsuit…
The D&O Diary
Oracle Hit with Massive AI Infrastructure-Related Securities Suit
In recent months, the filing of securities class action lawsuits involving artificial intelligence (AI)-related allegations has become an increasingly important part of overall securities suits filing volume. By and large,…
SCC Blog
Lakshmikumaran & Sridharan attorneys represented Uday Jewellery Industries Limited in NCLT-sanctioned amalgamation with Narbada Gems and Jewellery Limited
New Delhi, February 05, 2026: Lakshmikumaran & Sridharan, Attorneys (“LKS”) represented Narbada Gems and Jewellery Limited (“Transferor Company” / “Petitioner No. 1”) and Uday Jewellery Industries Limited (“Transferee Company” /…
Consumer Financial Services Law Monitor
SEC Staff Issues Guidance on Tokenized Securities
By Genna Garver, Deborah Kovsky-Apap, Ethan G. Ostroff
On January 28, the U.S. Securities and Exchange Commission’s (SEC’s) Division of Corporation Finance, Division of Investment Management, and Division of Trading and Markets issued a joint statement explaining how…