Topic
Securities
6,681 published works
Across The Board
Updated Proxy Rules C&DIs
By Ali Perry
On January 27, 2025, the staff of the US Securities and Exchange Commission updated its Compliance and Disclosure Interpretations (“C&DIs”) for Proxy Rules and Schedules 14A/14C with respect to notices…
The CLS Blue Sky Blog
Startup Compensation 2.0
In the early stages of the unicorn era, it seemed that Rule 701 under the Securities Act, which provides a generous exemption for private company equity compensation, might not be…
The D&O Diary
Walgreens Boots Alliance Hit with Opioid-Related Securities Suit
The filing of Opioid-related securities litigation is not a new development; indeed, more than six years ago, I published a post in which I noted the outbreak at the time of a…
Land Use Law Blog
The United States Supreme Court Holds In-House Proceedings by Federal Agency for Enforcement Action to Recover Civil Penalties Violates Seventh Amendment
By Abbott & Kindermann, Inc., Glen C. Hansen, Simyllina Chen
SEC v. Jarkesy, 603 U.S. 109 (2024) In SEC v. Jarkesy, 603 U.S. 109 (2024), the United States Supreme Court held that it is a violation of the Seventh Amendment…
The D&O Diary
Tech Company Hit with Securities Suit Alleging AI-Related Omissions
In my recent year-end wrap up, I noted that one of last year’s top stories was the rise of artificial intelligence (AI) as a source of corporate and securities litigation…
Winstead - Investment Management
The Importance of Timely Filing a Form D
By Sarah Ghaffari, Jacob Spicer
SEC Charges Companies for Failing to Timely File Form D in Violation of Regulation D On December 20, 2024, the U.S. Securities and Exchange Commission (the “SEC”) announced charges against…
SEC Actions
p>This Week In Securities Litigation (Week of February 3, 2025)
This Week In Securities Litigation (Week of February 3, 2025) The Commission filed three new cases last week. Two centered on offering frauds while a third centered on a remote…
The National Law Forum
SEC Whistleblower Awarded $3 Million for Providing Information, Identifying Witnesses
On January 13, the U.S. Securities and Exchange Commission (SEC) issued a $3 million whistleblower award to an anonymous individual who voluntarily provided the Commission with original information which led to a…
Global Regulation Tomorrow
FCA CP25/2: Further changes to the public offers and admissions to trading regime and the UK Listing Rules
By Anita Edwards, Simon Lovegrove (UK)
On 31 January 2025, the Financial Conduct Authority (FCA) issued Consultation Paper 25/2: Further changes to the public offers and admissions to trading regime and the UK Listing Rules (CP25/2).…
The D&O Diary
Cornerstone Research: Securities Suit Filings Increased in 2024
According to the latest report from Cornerstone Research, the number of federal and state securities class action lawsuits filed increased in 2024 for the second year in a row, to…