Topic
Securities
6,666 published works
Regulatory Oversight
Delaware Imposes Nearly $1M Penalty on Investment Adviser for Registration, Supervision, and Recordkeeping Failures
By Troutman Pepper Locke State Attorneys General Team
On November 21, Delaware Attorney General Kathy Jennings’s Investor Protection Unit (IPU) announced a $995,180 penalty against Kovack Advisors, Inc. (Kovack) for a series of violations of the Delaware Securities…
Commercial Case Notes
State Court Securities Action Stayed Pending Federal Court Decision on SLUSA Stay
By John Lundin
On December 4, 2025, the First Department issued a decision in Brigade Calvary Fund Ltd v. Chirico, 2025 NY Slip Op. 06784, staying a securities action pending a federal court’s…
Religion Clause
Texas Sues Promoters of Development Aimed at Muslim Home Buyers
Texas Attorney General Ken Paxton announced last week that he has filed suit in a Texas state trial court against the East Plano Islamic Center alleging violations of Texas securities…
Business and Commercial
Commission consults on draft Delegated Regulation amending Delegated Regulation (EU) 2019/980 on the reduced content and the standardised format of two EU short-form prospectuses
On 4 December 2025, the European Commission (Commission) issued a consultation on a draft Delegated Regulation amending Delegated Regulation (EU) 2019/980 on the reduced content and the standardised format and…
The Securities Law Blog
SEC to Host Webinar for Transfer Agents on Regulation S-P
The Securities and Exchange Commission today announced it will hold the second in its series of compliance outreach events regarding the 2024 adoption of amendments to Regulation S-P. The event,…
Financial Services Observer
SEC Division of Examinations 2026 Priorities
By Arthur Don, Steven M. Malina, Richard M. Cutshall, Tracy S. Combs, William Mack, Rachel Edwards, Douglas W. Hathaway
The Securities and Exchange Commission (SEC)’s Division of Examinations (Division) announced its 2026 examination priorities (Exam Priorities) on Nov. 17, 2025.
Public Company Advisory Blog
SEC Chairman Addresses the Future of America’s Capital Markets
By Jonathan Burr|Lauren Visek|David Lynn
On December 2, 2025, SEC Chairman Paul Atkins spoke at the New York Stock Exchange about the current state of U.S. capital markets, the challenges they face, and potential reforms…
The D&O Diary
SEC Chair Paul Atkins and Public Company Disclosure Reform
It is already well understood that there has been a change in direction at the SEC under the current Trump Administration and SEC Chair Paul Atkins. In a speech earlier…
The Southern District of Florida Blog
Ghost Candidates and the $14 billion Drop
By johnr-byrnesdfla-blogspot-com
By John R. ByrneSecurities lawsuits can sometimes be dry. Not this one. In Jastram v. NextEra Energy, Inc., the plaintiffs' class action complaint contained some fairly unusual (and Pelican Brief-esque…
Fox Mandal Blogs
SEBI’s Fifth LODR Amendment, 2025 — Materiality Recast, Compliance Tightened
By Fox@Admin21
Home SEBI’s Fifth LODR Amendment, 2025 - Materiality Recast, Compliance Tightened November 26, 2025 Gagandeep Sood Kiran Patel Ankit Basu The Securities and Exchange Board of India has notified the…