Topic
Securities
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Securities Law Prof Blog
NASD Announces Updated BrokerCheck
NASD announced a updated version of its BrokerCheck public disclosure program that allows members of the public to obtain information about brokers. Beginning today, NASD BrokerCheck is available online 24…
The D&O Diary
Section 11 Settlement Held Not Insurable “Loss”
On March 14, 2007, in a decision that has important implications for D & O insurers and their policyholders, Judge Gregory Presnell of the federal court in Orlando granted partial…
Securities Law Prof Blog
Amici Briefs in Tellabs Case
Here is a list of the amicus briefs filed in Tellabs, Inc. v. Makor Issues & Rights, Ltd., which will be argued before the U.S. Supreme Court on March 28. …
Securities Law Prof Blog
Scholarship on Principles-Based Securities Regulation
New Governance, Compliance, and Principles-Based Securities Regulation by CRISTIE L. FORD University of British Columbia Faculty of Law; Columbia Law School , is now available on SSRN. Here is the…
Securities Law Prof Blog
SEC Settles Charges Against Radler
The Securities and Exchange Commission announced today that it has settled its enforcement action against F. David Radler, the former Deputy Chairman and COO of Hollinger International, Inc., pending in…
Securities Law Prof Blog
NASD Announces Structure and Organization for New SRO
With the formal consolidation of NASD and New York Stock Exchange Member Regulation on schedule for the second quarter, NASD Chairman and CEO Mary L. Schapiro today announced a number…
Securities Law Prof Blog
GM Says Ineffective Controls Threaten Performance
GM's Annual 10-K Report, filed 6 weeks late, disclosed that "ineffective" controls over financial reporting threatened its performance. Yesterday it released five years of restated financial statements and reported a…
Legal Profession Blog
Call 4 Papers: SOX, SEC Reforms, and Sec Reg for AALS in NYC 1/08
Posted by Alan ChildressThis from the Legal Scholarship Network of SSRN, with submission info here below the fold: CALL FOR PAPERS: AN EVALUATION OF RECENT SECURITIES LAW REGULATORY REFORMS AND…
Securities Law Prof Blog
Wall St. Debates Current State of US Capital Markets
The talk today is all about what was said at Treasury Secretary Paulson's Capital Market Conference yesterday, and from the press reports it appears that there was more debate over…
Drug & Device Law
A securities case worth reading (Citizens Insurance)
By Bexis
We talk like product liability lawyers, but we can spell "10b-5." Trust us. We even read securities cases every once in a while. Here's one we recommend to readers of…