Topic
Securities
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Securities Law Prof Blog
$14 Million Arbitration Award Upheld Against Merrill
A federal district court refused to vacate a $14 million defamation award by a NYSE arbitration panel to three former Merrill Lynch brokers who said that they were fired as…
Securities Law Prof Blog
Supreme Court hears oral argument in Credit Suisse Antitrust Case
Oral argument was held yesterday before the Supreme Court in Credit Suisse Securities v. Billings, where plaintiffs are attempting to sue underwriting firms under the antitrust laws for IPO practices…
The Contingency
Antitrust Law v. Securities Law: Credit Suisse Oral Argument (Update)
See the transcript of the oral argument this morning in Credit Suisse First Boston (USA), LLC v. Billing, No. 05-1157 (U.S.) here. Blawgletter has now read the transcript and offers…
Securities Law Prof Blog
SEC Testimony on Appropriations Request
SEC Chair Christopher Cox's Testimony Concerning Fiscal 2008 Appropriations Request is available on the SEC website.
Securities Law Prof Blog
NYSE Guidance on Portfolio Margin Requirements
NYSE Regulation has posted on its website guidance concerning portfolio margin requirements.
Securities Law Prof Blog
SEC Will Review Rule 12b-1 Fees
The year's agenda at the SEC includes review and possible revision of Rule 12b-1 that regulates the sales fees that mutual funds charge to pay for distribution costs, says Andrew…
Securities Law Prof Blog
Supreme Court Set to Hear Securities Cases This Week
The Supreme Court will hear oral argument tomorrow in the Credit Suisse case (whether SEC regulation of IPOs displaces antitrust regulation) and, on Thursday, in the Tellabs case (the standard…
Securities Law Prof Blog
NASD’s Schapiro Speaks
Mary Schapiro, Chair and CEO of NASD, spoke before SIFMA's Compliance and Legal Division's 38th Annual Seminar, on the effects of the consolidation of the NYSE and NASD regulatory arms,…
Securities Law Prof Blog
6th Circuit Decides NSMIA Preemption Issue
Brown v. Earthboard Sports USA, 6th Circuit Mar. 16, 2007, 2007 WL 777491:NSMIA preempts state registration of "covered securities" issued "pursuant to" a Reg D exemption. Federal and state courts…
Securities Law Prof Blog
Hedge Fund Manager Brings First Amendment Challenge in Massachusetts
A hedge fund manager, Bulldog Investors, has sued the Massachusetts securities regulator, asserting that the state's restrictions on information posted on Bulldog's website violate the First Amendment. The state had…