Topic
Securities
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Securities Law Prof Blog
NYSE Suspends Trading in New Century Financial Corp.
NYSE Regulation, Inc. announced today that it determined that trading in the common stock of New Century Financial Corp. (the “Company”)and its Preferred Stock should be suspended immediately. The Company…
The D&O Diary
U.S. Chamber Commission Reports on Capital Markets Competitiveness, Recommends Securities Reform
On March 12, 2007, in the latest in the apparently never-ending series of big thick reports on the competitiveness of U.S capital markets, the U.S. Chamber of Commerce released the…
Securities Law Prof Blog
NYSE Halts Trading in New Century Financial Corp.
NYSE Regulation, Inc. announced today that it is reviewing the continued listing status of the common and preferred shares of the troubled REIT, New Century Financial Corp. The NYSE halted…
Securities Law Prof Blog
Anti-Regulatory Reform Efforts This Week
Business begins its week of advocating changes in the regulation of capital markets, with the U.S. Chamber of Commerce's release of its report, followed on Tuesday with the Treasury Dept's…
Securities Law Prof Blog
Proposed Changes to SEC Financial Responsibility Rules
The SEC has published for comment amendments to its Financial Responsibility Rules for broker-dealers -- the net capital, customer protection, books and records and notification rules.
Securities Law Prof Blog
SEC Report on Options Order Routing and Execution
The Commission’s staff today released a report summarizing the results of recent examinations and analysis of routing and execution practices in equity options. The “Report Concerning Examinations of Options Order…
Securities Law Prof Blog
SEC Mulls Over Penalties in Backdating Settlement
Today's WSJ story on backdating stock options focuses on how the SEC will quantify the ill-gotten gains and harm caused by backdating -- issues that are apparently causing the SEC…
The D&O Diary
Why The Tellabs Case Will Matter
In the latest issue of InSights (here), I take a look at the Tellabs case now pending before the U.S. Supreme Court and discuss why the outcome of the case…
Securities Law Prof Blog
Commmissioner Atkins before International Bankers
SEC Commissioner Paul Atkins recently spoke before the Annual Washington Conference of the Institute of International Bankers, addressing Reg NMS, International Financial Reporting Standards, Foreign Deregistration, and SOX Section 404.
Securities Law Prof Blog
Commissioner Campos on Hedge Funds
Commissioner Roel C. Campos recently spoke before the Hedge Fund Institutional Forum Corporate Funds Roundtable. He started out by criticizing the media's reaction to the President's Working Group Paper on…