Topic
Securities
6,666 published works
Public Company Advisory Blog
Dave Lynn Kicks Off the 53rd Annual Securities Regulation Institute
By Publisher
The 53rd Annual Securities Regulation Institute (SRI) opened with remarks from Chair of Goodwin’s Public Company Advisory Practice, Dave Lynn, who is serving as Institute Chair, setting the tone for…
Public Company Advisory Blog
SEC Staff Updates Key Compliance and Disclosure Interpretations Affecting Deal Structuring, Activism, and Tender Offers
By Publisher
The Staff of the Division of Corporation Finance has updated several Compliance and Disclosure Interpretations (CDIs) under the Securities Act, proxy rules, and tender offer rules. The changes provide additional…
Global Regulation Tomorrow
UK Accelerated Settlement Taskforce Quarterly Review – Q4 2025
By Simon Lovegrove (UK), Charlotte Carnegie
On 26 January 2026, the UK Accelerated Settlement Taskforce (AST) issued its final Quarterly Review of 2025. A key message in the Quarterly Review is that market participants are expected…
The D&O Diary
4th Circuit: Shareholder Claims and SEC Investigation “Logically and Causally” Related
Questions whether two sets of circumstances are or are not interrelated are among the most vexing insurance coverage disputes out there. These questions often are even more fraught because of…
The Securities Law Blog
SEC Small Business Advisory Committee to Continue Discussion on Regulatory Framework for Finders and Begin Exploring the Private Secondary Market
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a public meeting at the SEC Headquarters in Washington, D.C., on Tuesday, Feb. 24,…
The D&O Diary
ISS Releases Top 100 Securities Suit Settlements List
According to the latest report from ISS Securities Class Action Services, there were two court-approved securities class action lawsuit settlements in 2025 large enough to make the firm’s annual list…
Regulatory Oversight
Securities Investigations and Enforcement Newsletter – January 2026
By Jay Dubow, Ghillaine Reid, Keith J. Barnett, Dominic Cervoni, Joanna Cline, Seth Erickson, John Ford, Genna Garver, Tim Mast, Stephen C. Piepgrass, Megan Rahman, Michael A. Schwartz, Casselle Smith, Peter Villar, Mary Weeks, John West, Valerie Holder, Brian Nichilo, Bianca DiBella, Erica Dressler, Katie Hancin, Sophia Harmelin, Isabela Herlihy, Millie Krnjaja, Mike Matthews, George Phelan, 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,…
Public Company Advisory Blog
SEC Division of Corporation Finance Announces Senior Leadership Team
By Folake Ayoola|David Lynn|Jacqueline Kaufman|Jonathan Burr
On January 20, 2026, the Securities and Exchange Commission announced the senior team from the Division of Corporation Finance responsible for advising James Moloney, Director of the Division of Corporation…
Compliance Building
Congressional Stock Trading and Private Insider Trading
I think everyone agrees that members of Congress should not engage in trading based on information they encounter. That is, everyone except members of Congress. There have been several attempts…
China Law Insight
非上市公司主体涉操纵证券市场行为的刑事风险研究
By King & Wood
作者：常俊峰 甘雨来 赵枫 黄凰 杨杨冬琪 李旭日 随着我国证券市场发展完善，证监会不断提升打击证券违法行为的精准性。作为证券市场的“三条红线”之一，操纵证券市场历来是证券监管执法的重点打击对象。随着市场规模不断扩大，操纵类案件也在不断迭代。除了常见的用资金优势的“坐庄型”操纵、上市公司“内部人”组织参与的“伪市值管理”型操纵，逐步发展出现借助配资资金或资管产品实施“加杠杆”、游资抱团炒作的“团伙型”操纵，“编题材、讲故事”的蛊惑型操纵，利用复杂金融产品、新型交易技术实施的操纵等新型操纵行为。证监会也一直在积极识别新型操纵行为，持续加大对上市公司大股东、实控人、董监高等“关键少数”,金融机构从业人员以及职业操纵团伙等黑灰产业链的追责力度，不断加大对新型操纵行为的打击范围。 阅读更多