Topic
Securities
6,671 published works
The D&O Diary
Accounting-Related Securities Suit Filings Increased, Settlement Values Decreased
The number of securities class action lawsuit filings involving accounting allegations increased slightly in 2024 compared to 2023, but the 2024 accounting-related filings remained below the long-term annual average number…
The D&O Diary
High Bar to Establish Section 11 Standing for Direct Listing Purchasers
In its June 2023 decision in the Slack case, the United States Supreme Court held that, order to establish standing, Section 11 plaintiffs must plead and prove that the shares…
Securities Law Prof Blog
New Securities Law Articles in Print
The following law review articles relating to securities regulation are now available in paper format:Carol Goforth, The Securities and Exchange Commission and Cryptoassets: A Study in Irony, 87 Alb. L.…
California Corporate & Securities Law Blog
When Do Blue Sky Laws Apply?
In my experience, many securities lawyers are well versed in the federal securities laws, but have little experience with state securities laws. This is understandable because federal law in many cases preempts…
ABS Update
First Department Issues Latest Guidance on Notice Relating to Put-Back Claims
By John Lundin
On April 10, 2025, the First Department recently issued a decision in U.S. Bank N.A. v. DLJ Mtge. Capital, Inc., 2025 NY Slip Op. 02139, issuing its latest guidance on…
SEC Actions
This Week In Securities Litigation (Week of April 14, 2025)
The Commission filed on new cases last week. It was based on making false statements to market a new claimed AI product. Be careful, be safe this week. SEC Enforcement…
The D&O Diary
4th Circ.: Short Seller Report’s Allegations Insufficient to Establish Loss Causation
As I have noted in prior posts (most recently here), courts have over time evinced a continuing skepticism of securities class action lawsuit allegations based on short-seller reports. The short…
Banking, Finance and Securities
SEC Says Stablecoins not Subject to Securities Laws
By Andrew Lom (US), Steven Lofchie
After undertaking a legal analysis, the SEC Division of Corporation Finance concluded "that the offer and sale of Covered Stablecoins, ... do not involve the offer and sale of securities…
SEC Actions
This Week In Securities Litigation (Week of April 7, 2025)
The Commission filed two new enforcement actions last week. One focused on AML compliance. The other centered on an offering fraud action. Be careful, be safe this week. SEC Enforcement…
Securities Law Prof Blog
New Securities Law Articles in Print
The following law review articles relating to securities regulation are now available in paper format:Mark R. Kubisch, Constitutionally Suspect Interventions in the Shareholder Proposal Forum, 59 Wake Forest L. Rev. 1155 (2024).Jaiden…