Topic
Securities
6,666 published works
Inside Class Actions
SEC Changes Policy on Issuer-Investor Arbitration Provisions With Important Implications for Securities Class Actions
By Jordan Joachim, James Fitch
The SEC has long had a policy that effectively prohibited public companies from requiring arbitration of shareholder claims under the Securities Act[1] and Securities Exchange Act.[2] Last month, the SEC…
Banking, Finance and Securities
ESMA Final Report on amendments to the RTS on settlement discipline
By Simon Lovegrove (UK), Floortje Nagelkerke (NL)
On 13 October 2025, the European Securities and Markets Authority (ESMA) issued a Final Report on amendments to Commission Delegated Regulation (EU) 2018/1229 (the Regulatory Technical Standards (RTS) on settlement…
Global Regulation Tomorrow
ESMA issues second statement on the transition for the application of the MiFID II/MiFIR review
By Simon Lovegrove (UK), Floortje Nagelkerke (NL)
On 10 October 2025, the European Securities and Markets Authority (ESMA) issued its second statement concerning the transition for the application of the MiFID II/MiFIR review. ESMA issued its first…
The D&O Diary
Guest Post: The Future of Securities Litigation Defense
Doug Greene In the following guest post, Doug Greene, Partner at the BakerHostetler law firm and Chair of the firm’s Securities and Governance Litigation Team, takes a look at the…
The CLS Blue Sky Blog
Sullivan & Cromwell Discusses Implications of Government Shutdown on Securities Transactions
By Catherine M. Clarkin, Kethan T. Dahlberg, Robert W. Downes, Mario Schollmeyer
The federal government shutdown commenced at midnight on October 1, 2025, and proposals to reopen the government failed on October 3, extending the shutdown further into the fourth quarter. On…
Credit Chronometer
SubPrime Auto Finance News | Experts From Davis+Gilbert and McDonald Hopkins Offer More Analysis of Tricolor Bankruptcy Impact
With the recent bankruptcy filing by Tricolor Holdings, many industry leaders are attempting to predict how this will impact subprime auto finance for the remainder of the year and beyond.Joseph…
Whitman Legal Solutions Blog
Why Securities Issuers Should Emulate Marian the Librarian Rather Than Harold Hill
The Music Man first opened on Broadway in December 1957. It was wildly successful, winning five Tony awards, including Best Musical (for which it edged out West Side Story, which…
SEC Actions
This Week In Securities Litigation (Week of October 6, 2025)
The Commission filed three new enforcement actions last week. One centered on investment fraud, a second on misappropriation and a third on financial fraud. Be careful this week, be safe.…
Administrative and Regulatory
ESMA 2026 Annual Work Programme
By Simon Lovegrove (UK), Floortje Nagelkerke (NL)
On 3 October 2025, the European Securities and Markets Authority (ESMA) published its annual work programme for 2026. Verena Ross, Chair of ESMA, said: “A core focus in 2026 is…
Across The Board
Northwestern Law’s 45th Annual Ray Garrett Jr. Corporate & Securities Law Institute
Conference| October 9-10, 2025 Mayer Brown is pleased to be lead affiliate of Northwestern Law’s 45th Annual Ray Garrett Jr. Corporate & Securities Law Institute taking place October 9 –…