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Securities
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Securities Law Prof Blog
NASAA Pro-Investor Forum Today
North American Securities Administrators Association (NASAA) sponsored its own symposium to counter those recently held by pro-business groups such as the U.S. Chamber of Commerce. NASAA President Borg said NASAA…
Securities Law Prof Blog
Merrill Lynch Limits Access to Research
MerillLymch is taking steps to limit access to the research reports it provides to its best customers, as it worries about its research "being Napsterized." Merrill Lynch and other firms…
Securities Law Prof Blog
Blackstone Files Prospectus for IPO
The Blackstone Group, the largest private equity firm, filed its preliminary prospectus yesterday for its IPO offering investors 10% of the equity in the management company, which had $2.3 billion…
Securities Law Prof Blog
SEC Settles Inadequate Surveilance Charges Against Amex
The Securities and Exchange Commission today issued a settled cease-and-desist order against American Stock Exchange LLC for failing to enforce compliance with securities laws and rules and failing to comply…
Legal Profession Blog
“RE: Irreplaceable or Rickets”
Posted by Alan ChildressIrreplaceable or rickets. That was the eternal conundrum facing me this morning in one email as I read my inbox's Re lines. I realized there was a…
Securities Law Prof Blog
SEC Studies Empty Voting
The practice of "empty voting" -- where big investors vote shares they have borrowed but do not own -- is under scrutiny at the SEC. Chairman Cox has asked the…
Securities Law Prof Blog
Nazareth on Competitiveness
Excerpts from Remarks Before the Council of Institutional Investors by Commissioner Annette L. Nazareth:Any serious examination of competitiveness issues and unnecessary regulatory cost also will have to focus on our…
Securities Law Prof Blog
Atkins on Final Deregistration Rule
Excerpts from Comments on Final Deregistration Rules at the SEC March 21 Open Meeting by Commissioner Paul S. Atkins:The finalization of this rulemaking is another significant, tangible step in the…
The D&O Diary
Another Call to Eliminate Private Securities Lawsuits
Amidst the current clamor over the competitiveness of the U.S. financial markets, a recurring theme has been the burden on the financial markets of U.S. litigiousness. One variant of this…
Securities Law Prof Blog
NASAA Announces Speakers for its Mar. 22 Symposium
The North American Securities Administrators Association, Inc. (NASAA) today announced panelists for its March 22 public symposium, “Protecting Investors and the Integrity of Financial Markets,” and also set plans to…