Topic
Securities
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Securities Law Prof Blog
New SEC Policy on Settlement Discussions
According to the Washington Post, the SEC has instituted a pilot program requiring that enforcement staff get approval from the Commission before beginning settlement discussions that would result in corporate…
Securities Law Prof Blog
NASAA Public Policy Program May 8
The North American Securities Administrators Association (NASAA) will hold its 2007 Public Policy Conference on May 8 in Washington, D.C. to focus attention on investor protection issues of key concern…
Securities Law Prof Blog
Senator Kennedy Asks SEC to Investigate Stock Sales in Student Loan Scandal
The student loan scandal may have securities implications. Senator Kennedy has asked the SEC to investigate the circumstances surrounding sales of Student Loan Xpress stock to several university financial aid…
Securities Law Prof Blog
Nasdaq in Talks to Buy Philadelphia Exchange
Nasdaq is negotiating with the Philadelphia Stock Exchange to acquire it. The Philadelphia exchange is the third largest options exchange in the country and is 90% owned by Morgan Stanley…
Securities Law Prof Blog
SIFMA Wants SEC to Request Re-Hearing of Fee-Based Accounts Decision
The Securities Industry and Financial Markets Association (SIFMA) today announced that it is urging the Securities and Exchange Commission to ask the D.C. Court of Appeals for a rehearing on…
Securities Law Prof Blog
China Issues New Insider Trading Rules
China's securities regulators issued new rules regulating insider trading. Under the rules, senior managers may not sell more than 25% of the company shares they held at the end of…
Securities Law Prof Blog
Securities Industry ’06 Profits a Record High
The US securities industry had a record breaking year in 2006, reporting full-year profits of $33.1 billion – 88.2% above the $17.6 billion earned in 2005, and 4.7% above the…
Securities Law Prof Blog
Buffet Acquires Stake in Railroad
Warren Buffet's Berkshire Hathaway announced in a SEC filing that it had acquired 10.9% of Burlington Northern Santa Fe, becoming the railroad's largest shareholder. See NYTimes, Berkshire Says It Has…
Securities Law Prof Blog
More Big-Bucks Executive Compensation Disclosed
A New York Times column reads the fine print of the executive compensation disclosure in some proxy statements and looks for the bottom line of the new SEC rules. Some…
Securities Law Prof Blog
Glaser on Online Broker Investors
Online Broker Investors: Demographic Information, Investment Strategy, Portfolio Positions, and Trading Activity by MARKUS GLASER, University of Mannheim - Department of Banking and Finance, was recently posted on SSRN. Here…