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Securities
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Securities Law Prof Blog
NASAA’s Borg Testifies on NYSE-NASD Merger
North American Securities Administrators Association (NASAA) President Joseph P. Borg testified on May 17 before a Senate panel holding a hearing on the consolidation of the NYSE and NASD regulatory…
Securities Law Prof Blog
Senate Hearing on NYSE-NASD Consolidation
The Senate Banking, Housing and Urban Affairs Subcommittee of the Securities, Insurance, and Investments Committee held a hearing today on the consolidation of the regulatory arms of the NYSE and…
Securities Law Prof Blog
SIFMA CEO Testifies on NYSE-NASD Regulatory Consolidation
Marc Lackritz, CEO of SIGFMA, testified before the Senate Banking, Housing and Urban Affairs Subcommittee of the Securities, Insurance and Investments Committee on the merger of the regulatory arms of…
M & A Law Prof Blog
DaimlerChrysler’s Information Gap
DaimlerChrysler AG, is a German company, and though it is listed on the New York Stock Exchange it is governed by more-relaxed SEC rules governing "foreign private issuers". We are…
M & A Law Prof Blog
Blackstone Agrees to Acquire Alliance Data
Alliance Data, the marketing services company, today announced an agreement to be acquired by Blackstone. The transaction is valued at approximately $7.8 billion, and Blackstone will pay $81.75 per share…
M & A Law Prof Blog
3i’s New Private Equity Fund
3i, the private equity fund adviser listed on the London Stock Exchange, yesterday announced that it would publicly list a new £400 million private equity fund on the LSE (see…
Securities Law Prof Blog
The Securities Industry’s Political Power
Interesting numbers about the political power of the securities industry:[The Securities Industry and Financial Market Association]is Wall Street's main mouthpiece as well as its heftiest political benefactor. When added together,…
Securities Law Prof Blog
SEC Sets Agenda for May 23 Meeting
The SEC has released the agenda for its Open Meeting on May 23, which has a number of important items:The Commission will consider whether to adopt interpretive guidance for management…
Securities Law Prof Blog
Will Congress Take on Securities Arbitration?
A May 4 letter to the SEC by Senators Feingold and Leahy, urging that investors should not be required to arbitrate their disputes with their brokers, has received considerable publicity…
Securities Law Prof Blog
Grassley Will Introduce Legislation on Hedge Fund Advisers
Senator Charles Grassley plans to introduce a bill giving the SEC the authority to require hedge fund advisers to register with the agency, saying that the SEC needs more information…