Topic
Securities
6,681 published works
SEC Actions
This Week In Securities Litigation (Week of January 6, 2025)
The Commission announced settlements in two insider trading cases, an offering fraud action and a municipal action last week. It also settled several actions centered on a failure to file…
The CLS Blue Sky Blog
Stock Exchange Rulemaking After the Fifth Circuit’s AFBR Decision
Securities law often relies on stock exchanges and other self-regulatory organizations (SROs) to create rules that structure markets. The SEC reviews and must approve these rules if the agency finds…
The D&O Diary
Federal Court Securities Class Action Lawsuit Filings Increased in 2024
The number of federal court securities class action lawsuit filings increased in 2024 for the second year in a row, to the highest level since 2020. The increased number of…
Law of The Ledger
NFTs and Securities Law Issues Are on the Rise – SEC Analysis Relies on Resale Royalties
By James Gatto, Maxwell Earp-Thomas
Until fall 2023, there were few SEC enforcements or litigations involving securities issues with non-fungible tokens (“NFTs”). This has changed dramatically. In rapid succession last fall, the SEC undertook two…
Law of The Ledger
SEC Hits Blockchain Gaming Project with Wells Notice
By James Gatto, Maxwell Earp-Thomas
The U.S. Securities and Exchange Commission (SEC) has taken a significant step in its regulatory scrutiny of blockchain gaming projects by issuing a Wells notice to CyberKongz, a prominent NFT…
Free Writings + Perspectives
SEC Adopts Amendments Mandating Certain Exchange Act Filings and Submissions to be Made Electronically; Also Adopts Technical Changes Regarding FOCUS Reports
By Anna T. Pinedo, Steffen Hemmerich, Mark Zhuang
On December 16, 2024, the Securities and Exchange Commission (“SEC”) adopted amendments (the “Amendments”) requiring the electronic filing, submission, or posting of certain forms required under the Securities Exchange Act…
The Securities Law Blog
SEC Files Settled Charges Against Multiple Entities for Failing to Timely File Forms D in Connection With Securities Offerings
The Securities and Exchange Commission today announced charges against two private companies and one registered investment adviser for failing to timely file Forms D for several unregistered securities offerings in…
Known Trends
EDGAR Will Be Closed Tuesday, December 24, 2024, and Wednesday, December 25, 2024
On December 20, 2024, the U.S. Securities and Exchange Commission announced that the EDGAR system will be closed on both Tuesday, December 24, 2024, and Wednesday, December 25, 2024.[1] As…
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:Todd Phillips & Beau J. Baumann, The Major Questions Doctrine's Domain, 89 Brook. L. Rev. 747 (2024).Onnig H.…
Canadian Lawyer Mag
SCC to hear civil appeals on securities law, adverse possession, and insurance in winter session
The high court will consider 22 cases in total