Topic
Securities
6,666 published works
Banking, Finance and Securities
ASIC releases estimated industry funding levies for 2024-25
By James Morris (AU), Lucinda McCann
On 3 July 2025, the Australian Securities and Investments Commission (ASIC) issued its 2024-25 Cost Recovery Implementation Statement (CRIS), which outlines how ASIC will recover regulatory costs from industry under…
The D&O Diary
First Half Securities Suit Filings on Pace to Match Last Year’s Filings Total
New securities class action lawsuits in the first half of 2025 were filed at a pace that projects to a year-end total number of filings level with 2024’s full-year total.…
SEC Actions
This Week In Securities Litigation (Week of June 30, 2025)
Last week the Commission filed three new enforcement actions. Each centered on an offering fraud claim. Be careful, be safe this week. SEC Enforcement – Filed and Settled Actions Statistics:…
Blaneys Appeals
COURT OF APPEAL SUMMARIES (JUNE 23-27)
Jump To: Table of Contents | Civil Decisions | Short Civil Decisions Good afternoon. Following are our summaries of the civil decisions of the Court of Appeal for Ontario for…
Banking, Finance and Securities
ESMA Final Report – Technical advice on the scope of CSDR settlement discipline
On 26 June 2025, the European Securities and Markets Authority (ESMA) published a Final Report containing technical advice on the scope of settlement discipline under the Central Securities Depositories Regulation…
The Securities Law Blog
SEC Extends Compliance Date to Help Broker-Dealers Fully Test and Implement Daily Reserve Computation Requirement
The Securities and Exchange Commission today voted to extend the compliance date to June 30, 2026, for the amendments to Rule 15c3-3 (the broker-dealer customer protection rule) that the Commission…
The D&O Diary
Tone Portrait: Artificial Intelligence and MD&A
As I have noted in recent posts (most recently, for example, here), the proliferation of AI in many industries is changing the way business gets done. According to a new…
The CLS Blue Sky Blog
Sullivan & Cromwell Discusses SEC Withdrawal of 14 Proposed Rules
By Colin Lloyd, Eric Diamond, Malou (Marie-Louise) Huth, Aaron Levine, Natasha Vasan
On June 12, the SEC withdrew 14 proposed rules stating that it did not intend to issue final rules with respect to the proposals and that if the SEC decides…
The D&O Diary
Reddit Downplayed Impact of Google’s AI-Related Changes, Suit Alleges
In recent months, a number of companies have been hit with AI-washing securities class action lawsuits alleging that the defendant companies overstated their AI-related capabilities or opportunities (such as, for…
D&O Discourse
Restoring Zeal in Securities Class Action Mediations
By Doug Greene
In my May post, Making Better Judgments about Summary Judgment in Securities Class Actions, I discussed how we can pick more cases to defend through summary judgment. But, of course,…