Topic
Securities
6,666 published works
The D&O Diary
Federal Court Securities Suit Filings Declined Slightly in 2025
After two consecutive years in which the annual number of federal court securities class action lawsuit filings increased, the number of federal court securities class action lawsuit filings decreased slightly…
Cross-Border Counselor
Section 16 Reporting Requirements Expanded to Directors and Officers of Foreign Private Issuers
By Kimberley R. Anderson, Chris Doerksen, James Guttman
Directors and officers of foreign private issuers take note: unless the SEC exempts you, you will be required to report beneficial ownership and transactions in your company’s registered equity securities…
The Capital Commitment
SEC Issues Risk Alert to Remind Advisers of Core Compliance Expectations
By Nathan Schuur, Robert Sutton, Caroline Spillane, Maegan Kae Z. Sunaz
On December 16, 2025, the Securities and Exchange Commission’s ("SEC") Division of Examinations issued a Risk Alert highlighting several recurring deficiencies in investment advisers’ compliance with the provisions of Advisers Act Rule…
Legal Bites
Case Summary: Securities and Exchange Board of India v. Amit Jain (2025) | Scope of Rule 3 of SEBI Adjudication Rules
This judgment of the Delhi High Court brings clarity to SEBI’s enforcement mechanism by holding that the appointment of an Adjudicating Officer under Rule 3 of the SEBI Adjudication Rules,…
The D&O Diary
Two Tech Companies Hit with Data Breach-Related Securities Suits
The possibility of a securities class action lawsuit being filed against a company after it experiences a data breach is a long-standing risk. For most of 2025, there were relatively…
Cleary Securities, Disclosure, and Governance Watch
Section 16(a) Insider Reporting: Legislation Ends Foreign Private Issuer Exemption
By Adam Fleisher, Juan Giráldez, David I. Gottlieb, Helena K. Grannis, Jorge U. Juantorena, Sarah E. Lewis, Frederic Martin, Jonathan Mendes de Oliveira, Manuel Silva, Sebastian R. Sperber, Leticia Daruge
On December 18, 2025, the President of the United States signed into law the Holding Foreign Insiders Accountable Act (“HFIAA”), making officers and directors of foreign private issuers (“FPIs”) subject…
Regulatory Oversight
12 Days of Regulatory Insights: Day 12 – The SEC Reset
By Stephen C. Piepgrass, Ghillaine Reid
In the final episode of our special 12 Days of Regulatory Insights podcast series, Regulatory Oversight co-host Stephen Piepgrass sits down with Partner Ghillaine Reid — co-leader of the firm's…
Agricultural Law & Rural Practice | Solo Small Firm & General Practice Section
Primer on Wisconsin Securities Laws for LLC Interests
Lawyers regularly help their clients form business entities. In the modern day, the large majority of entities that are formed are formed as limited liability companies (LLCs).[1] While forming an…
The Securities Law Blog
Joshua T. White Named SEC Chief Economist
The Securities and Exchange Commission today announced that financial economist and academic scholar Dr. Joshua T. White will return to the agency beginning the week of Jan. 5, 2026, to…
The D&O Diary
Guest Post: Deterioration in U.S. Securities Litigation Risk
Nessim Mezrahi Stephen Sigrist In the following guest post, Nessim Mezrahi and Stephen Sigrist analyze financial market trends to assess the recent variances in the U.S. securities litigation risk. Nessim…