Topic
Securities
6,681 published works
California Corporate & Securities Law Blog
SEC's Latest Complaint Against Elon Musk Spawns Questions About The Politics Of SEC Enforcement
Earlier this week, the Securities and Exchange Commission filed a civil complaint in the U.S. District Court for the District of Columbia. The complaint alleges that Mr. Musk in acquiring…
SEC Actions
Musk Violates Section 13(d)
Provisions such as Section 13(d) were added to the Exchange Act to provide the markets and investors with notice of those who have significant holdings of a security. The Section…
The Securities Law Blog
Two Robinhood Broker-Dealers to Pay $45 Million in Combined Penalties for Violating More Than 10 Separate Securities Law Provisions
The Securities and Exchange Commission today announced that broker-dealers Robinhood Securities LLC and Robinhood Financial LLC (collectively, Robinhood) have agreed to pay $45 million in combined civil penalties to settle…
Canadian Lawyer Mag
Supreme Court of Canada sets hearings for firearms, securities, real property cases
Cases scheduled at federal courts this week involve tax and intellectual property law
The Securities Law Blog
SEC Charges BMO Capital Markets with Failing to Supervise Agency Bond Desk
The Securities and Exchange Commission today charged registered broker-dealer BMO Capital Markets Corp. with failing to supervise employees who, from December 2020 until May 2023, sold mortgage-backed bonds using offering…
The D&O Diary
Record-Setting Settlements in Two SPAC-Related Securities Suits
After the 2021 peak of the SPAC IPO frenzy, many SPACs wound up liquidating, while another significant tranche of the SPACs (or the SPACs post-merger successor companies) wound up in…
SEC Actions
This Week In Securities Litigation (Week of January 13, 2025)
As 2025 begins to move forward, the Commission continued to file new cases. Last week those included one a suspicious activity, two centered on offering frauds, another based on a…
The Securities Law Blog
Vince McMahon, Former CEO of WWE, Charged for Failure to Disclose to WWE Two Settlement Agreements He Executed on Behalf of WWE
The Securities and Exchange Commission today announced settled charges against Vince McMahon, the former Executive Chairman and CEO of World Wrestling Entertainment Inc., for signing two settlement agreements, one in…
The D&O Diary
Securities Suit Follows After Antitrust Ruling Bars Firms’ Merger Plans
In prior posts, I have noted the phenomenon of securities class action lawsuit filings following in the wake of antitrust enforcement actions (most recently here). A new securities lawsuit filed…
Data Protection Report
CSA releases guidance on the use of artificial intelligence in capital markets
By Imran Ahmad (CA), Domenic Presta (CA), Thierry Dorval, Katherine Barbacki, Roxanne Caron (CA)
On December 5, 2024, the Canadian Securities Administrators (CSA) released CSA Staff Notice and Consultation 11-348 – Applicability of Canadian Securities Laws and the Use of Artificial Intelligence Systems in…