Topic
Securities
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Securities Law Prof Blog
Supreme Court Holds Securities Laws Prevent Antitrust Claims Against Underwriters
The Supreme Court (7-1 vote) held, in Credit Suisse First Boston v. Billing, that the federal securities laws prevent private antitrust claims against several underwriters of IPOs in connection with…
Securities Law Prof Blog
Study on SRO Arbitration of Customers’ Disputes
Edward S. O'Neal, Securities Litigation and Consulting Group, and Daniel R. Solin, a securities arbitration attorney representing investors, released their report, Mandatory Arbitration of Securities Disputes: A Statistical Analysis of…
Securities Law Prof Blog
Perspectives on the Past Week’s News
The Department of Justice did not file an amicus brief on the side of investors in the "scheme liability" case that the Supreme Court will hear next term, reflecting the…
Securities Law Prof Blog
Sjostrom on PIPEs
PIPEs, by WILLIAM K. SJOSTROM Jr., Northern Kentucky University - Salmon P. Chase College of Law, was recently posted on SSRN. Here is the abstract: The Article examines Private Investments…
Securities Law Prof Blog
Barnard on Securities Fraud Professionals
Securities Fraud Professionals, by JAYNE W. BARNARD, College of William and Mary - Marshall-Wythe School of Law, was recently posted on SSRN. Here is the abstract:This article examines the phenomenon…
Securities Law Prof Blog
ALJ Dismisses Late-Trading Charges Against J.B. Oxford General Counsel
An Administrative Law Judge dismissed the SEC's charges against Scott G. Monson, the General Counsel of J.B. Oxford Holding and its brokerage subsidiary, relating to the firm's permitting favored clients…
Securities Law Prof Blog
SEC Staff Issues Compliance Alerts
The staff of the Securities and Exchange Commission today released its first ComplianceAlert letter to help chief compliance officers of SEC-registered firms learn more about common deficiencies and weaknesses that…
Securities Law Prof Blog
Broker-Dealer Legal and Compliance Issues
Speech before the SIFMA Conference on Regulatory Focus on Broker-Dealer Legal and Compliance Issues, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange…
Securities Law Prof Blog
NASD-NYSE Proposed Guidance on E-Mail
As mentioned earlier, the NYSE and NASD have released for public comment a Proposed Joint Guidance Regarding the Review and Supervision of Electronic Communications, which sets forth principles for member…
Securities Law Prof Blog
SROs will Issue Guidance on E-Mail
A joint NYSE-NASD committee will issue proposed guidelines on how securities firms should monitor written electronic communications both inside and outside the firm, as well as regulate employees' personal use…