Topic
Securities
6,666 published works
The D&O Diary
CarMax Hit with Tariff-Related Securities Suit
Last week, the U.S. Supreme Court heard oral argument in the legal case in which the claimants are challenging the constitutionality of President Trump’s tariffs. While we await the Court’s…
The D&O Diary
Guest Post: Changing the Mindset About Securities Class Actions
Teresa Milano Doug Greene Observers of securities class action litigation know that virtually every securities suit that survives dismissal ultimately settles. Very few securities suit go to trial. In the…
The D&O Diary
AI-Related Securities Suit Filed Against IC Design Software Firm
AI-related news dominates the business pages these days. Many companies increasingly are adapting their business processes to incorporate AI-related operations, and an growing number of companies are adjusting their business…
Whitman Legal Solutions Blog
Music Fundraising, Orange Groves, and Securities Laws
Global Regulation Tomorrow
EBA Final Report on draft RTS on CVA risk of SFTs
By Michael Born (DE), Simon Lovegrove (UK)
On 29 October 2025, the European Banking Authority (EBA) issued a Final Report on draft Regulatory Technical Standards (RTS) on credit valuation adjustment (CVA) risk of securities financing transactions (SFTs).…
Hall Benefits Law Blog
SEC Fines Vanguard and Empower Over $25M for Inadequate Disclosures
By Anne Hall
Under recent settlements, the U.S. Securities and Exchange Commission (SEC) is requiring Vanguard Advisors and Empower Advisory Group and Financial Services to pay more than $25 million in fines and…
The CLS Blue Sky Blog
Davis Polk Discusses SEC Guidance Facilitating IPOs During the Shutdown
By Maurice Blanco, Michael Kaplan, John B. Meade, Byron B. Rooney, Richard D. Truesdell Jr.
Following discussions with Davis Polk and other leading capital markets law firms, the SEC posted updated guidance that provides a path forward for companies seeking to IPO during the shutdown. Because the…
Free Writings + Perspectives
NASAA Amends REIT Guidelines: What Sponsors, Intermediaries, and Investors Need to Know
By Ali Perry
On September 7, 2025, the North American Securities Administrators Association (NASAA) approved amendments to its Statement of Policy Regarding Real Estate Investment Trusts (the “REIT Guidelines”), which were last amended…
Across The Board
SEC Chair Calls for Reassessment of Exchange Act Rule 14a-8; Reform of Securities Litigation
By Liz Walsh, Carlos E. Juarez
In the keynote address at the John L. Weinberg Center for Corporate Governance’s 25th Anniversary Gala, Securities and Exchange Commission (“SEC”) Chair Paul Atkins noted that the number of exchange-listed…
Financial Services Blog
Securities Investigations and Enforcement Newsletter – October 2025
By Jay Dubow, Ghillaine Reid, Akshay Belani, Domenic Cervoni, Joanna Cline, Seth Erickson, John Falco, John Ford, Genna Garver, Rakesh Gopalan, Douglass Herrmann, Tim Mast, Ethan G. Ostroff, Megan Rahman, Michael A. Schwartz, Casselle Smith, Peter Villar, Mary Weeks, John West, Brian Nichilo, Bianca DiBella, Joshua Eastwood, Theodore Edwards, Sophia Harmelin, Abrianna Harris*, Isabela Herlihy, Chloe Ann Lee, Millie Krnjaja, Mike Matthews*, Jessica McClellan, Jaycee Parker, Taylor Williams, Alexander Yarbrough
Troutman Pepper Locke’s Securities Investigations + Enforcement PracticeTroutman Pepper Locke’s Securities Investigations and Enforcement team counsels and defends clients through all stages of securities enforcement proceedings. Our attorneys have served…